The Department of Financial Investigations (DFI) was established to promote investor confidence in the securities and capital markets by providing more structure and government oversight. The mission of the DFI is to protect investors and maintain integrity of the securities industry, overseeing major participants in the industry, including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies. The DFI is concerned primarily with promoting disclosure of important information, enforcing securities laws, and protecting investors who interact with these various organizations and individuals.
The mission of the Department of Financial Investigations is to protect investors and maintain integrity of the securities industry, overseeing major participants in the industry, including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies.
The mission of the Department of Financial Investigations is to protect investors and maintain integrity of the securities industry, overseeing major participants in ...
The Department of Financial Investigations (DFI) major policy consists of supervising, managing and implementing all federal securities laws which are related ...
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