Dropdown arrow graphic

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

The SEC may handle violators using civil action or by partnering with the Department of Justice on criminal matters. 

Hands-free approach to investing

Our AI manages your money with commission-free, institutional-grade, AI-powered investment kits.

Search for something