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Unformatted text preview: b. Second way is stocks can be traded through American depository receipts (ADRs) c. Third is, you can actually go online and directly in international stocks through www.intltrader.com . 4. Name 2 securities regulation organizations. What is there primary purpose for securities market regulation? a. SEC (Securities and Exchange Commision) and The National Association of Securities Dealers. Theses organizations are meant to protect the investor and providing a level playing field so that all investors have a chance to make money. 5. What is churning and why is it a concern? a. Excessive trading in a security account that is inappropriate for the customer and serves only to generate commissions. And it is practically impossible to prove....
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- Spring '11
- Personal Finance