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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. 

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