Identify at least three (3) laws, regulations or financial principles that are relevant to a business or a financial industry.
Discuss how these regulations have impacted that organization and its participants. Discuss how improvements may be added to these laws. (Examples include the 1933 and 1934 Securities Acts, 1940 Investment Company Act, 1999 GLBA, and the 2002 Sarbanes-Oxley act.)
Discuss your personal code of ethics and specify how it agrees or conflicts with the regulations discussed in the paper.