Securities and Exchange Commission (SEC)

The Securities Exchange Commission or ‘SEC’ is the United States of America’s financial regulatory authority overseeing U.S. financial markets; assets’ trading, sale, false advertising, etc.

Created in the 1920s in the wake of the stock market crash to protect against existential risks the SEC is an independent agency of the USA responsible for enforcing federal securities laws, proposing directives and regulating the financial industry. The SEC has a three-part mission: to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation.

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