Series 7: 18.2.1. Securities And Exchange Commission

Taken from our Series 7 Online Guide

18.2.1. Securities and Exchange Commission

The SEC 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 enforces compliance with both civil

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