Series 14: 1.5.1. Securities And Exchange Commission (SEC)

Taken from our Series 14 Online Guide

1.5.1. Securities and Exchange Commission (SEC)

The Securities and Exchange Commission is the principal federal regulatory agency for the securities industry. Its broad mission is to protect investors and maintain the integrity of the securities markets. It oversees the securities markets to ensure that they are fair and honest, and it enforces the securities laws. The SEC writes the rules and regulations that give teeth to the securities laws, and it

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