Series 14: 1.5.1 The SEC

Taken from our Series 14 Online Guide

1.5.1. The SEC

The Securities and Exchange Commission is the principal federal regulatory agency for the securities industry. It has primary responsibility for interpreting and enforcing federal securities laws. The SEC oversees SROs, and it must review all new or revised SRO rules before these rules may take effect. It also creates many rules and regulations of its own, in order to interpret and give teeth to

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