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Securities and Exchange Commission (SEC)


The Securities and Exchange Commission (SEC) was designed to ensure transparent trading and to protect the financial safety of investors in the stock market. Like the Federal Deposit Insurance Corporation (FDIC), the SEC was created to increase confidence in the central finance system following the Great Depression. The SEC is far stricter than the Commodities Futures Trading Commission (CFTC), which is why securities are more regulated than other assets.

Warning: The SEC has failed to effectively enforce market manipulation laws on many occasions, and has been accused of destroying documents that were relevant to an ongoing investigation.
The SEC has failed to effectively enforce market manipulation laws on many occasions, and has been accused of destroying documents that were relevant to an ongoing investigation.

Whereas the FDIC insures deposit accounts, the SEC seeks to make business and investing activities more transparent. The SEC is known for its research tool, the EDGAR database, which compiles and stores company information in a public record. In particular, the SEC regulates exchanges where investors buy and sell equities, bonds, and securities. Financial advisors and brokers are also subject to SEC requirements.