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SEC
(Securities & Exchange Commission) A federal regulatory agency charged with the protection of investors against fraud and other market manipulation.
It enforces securities legislation such as the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. (It’s no coincidence these all came about after the 1929 market crash, in efforts to avoid a recurrence.) These laws primarily relate to investment management entities, such as mutual fund companies and Registered Investment Advisors like Clarity Investments + Planning LLC. The SEC also oversees publicly-traded companies for proper disclosure of their financial information.
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