What is the role of the SEC in finance?
The SEC, or Securities and Exchange Commission, regulates the securities industry, protecting investors and maintaining fair markets.
How does the SEC protect investors?
The SEC enforces securities laws, requiring companies to disclose financial information, which helps investors make informed decisions.
What are some key regulations enforced by the SEC?
Key regulations include the Securities Act of 1933, which mandates registration of securities, and the Securities Exchange Act of 1934, which regulates trading.
Can you explain the process of how the SEC investigates potential violations?
The SEC investigates potential violations by gathering evidence, conducting interviews, and analyzing financial records to determine if laws were broken.
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