Keyword Analysis & Research: sec

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Frequently Asked Questions

What does SEC stand for in agency?

The U.S. Securities and Exchange Commission (SEC) is an independent federal government agency responsible for protecting investors, maintaining fair and orderly functioning of securities markets and facilitating capital formation. It was created by Congress in 1934 as the first federal regulator of securities markets.

What is the mission of the SEC?

The U. S. Securities and Exchange Commission (SEC) has a three-part mission: Protect investors. Maintain fair, orderly, and efficient markets. Facilitate capital formation.

What is SEC Rule?

SEC Rule 17a-4 is a regulation issued by the U.S. Securities and Exchange Commission pursuant to its regulatory authority under the US Securities Exchange Act of 1934 (Known simply as the "Exchange Act") which outlines requirements for data retention, indexing, and accessibility for companies which deal in...

What is SEC jurisdiction?

U.S. Securities and Exchange Commission jurisdictionUnited States federal government


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