What Is SEC (Securities and Exchange Commission)?
The primary federal regulator of the U.S. securities markets, created by the Securities Exchange Act of 1934. It enforces securities laws, requires public-company disclosure, and oversees SROs such as FINRA and the exchanges.
SEC (Securities and Exchange Commission) across 2 exams
SEC (Securities and Exchange Commission) appears on the following exams. Each defines it in the context candidates are tested on:
- SIE
- The primary federal regulator of the U.S. securities markets, created by the Securities Exchange Act of 1934. It enforces securities laws, requires public-company disclosure, and oversees SROs such as FINRA and the exchanges.
- Series 79
- The federal agency that regulates the U.S. securities markets and enforces securities laws, including the registration requirements for public offerings.