Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (SEC) is an independent federal agency established under the Securities Exchange Act of 1934. The agency is headed by a 5-member Commission tasked with protecting investors and the markets. Among other duties, the SEC: * Regulates equity and fixed-income markets * Protects investors from fraud and market manipulation * Registers investable securities and financial services firms * Oversees regulatory bodies like FINRA and the [SIPC](https://learn.tryq.ai/articles/sipc) The SEC may handle violators using civil action or by partnering with the Department of Justice on criminal matters.
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