The Securities and Exchange Commission would likely penalize a bank for violating regulations due to its role in regulating the securities market and safeguarding public investors.
The Securities and Exchange Commission (SEC) is most likely to penalize the bank for violating a regulation. The SEC plays a crucial role in regulating corporations and brokerage firms dealing in the securities market, with its rulings significantly impacting stock market transactions and business financing.
Furthermore, the SEC requires companies to register, file reports, and provide detailed financial information in advance. It also sets standards and limitations to ensure fair practices within the financial market, safeguarding public investors against malpractices.
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