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HKW TRADING, LLC, Sec Form
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People also ask
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Who regulates the stock market in the United States?
The Securities and Exchange Commission (SEC) oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud. -
Who does the SEC report to?
19 The SEC is accountable to Congress as it operates under the authority of federal laws including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the Sarbanes-Oxley Act of 2002 (Sarbanes-Oxley Act), among others. -
Who regulates the US stock market?
Securities and Exchange Commission (SEC) It regulates stock exchanges, options markets, and options exchanges in the United States and other electronic securities markets and businesses. It also oversees financial advisors who are not subject to government oversight. -
Does the SEC regulate the stock market?
The Securities and Exchange Commission (SEC) is a U.S. government oversight agency responsible for regulating the securities markets and protecting investors. -
What companies does the SEC regulate?
Entities under the SEC's authority include securities exchanges with physical trading floors such as the New York Stock Exchange, self-regulatory organizations, the Municipal Securities Rulemaking Board, NASDAQ, alternative trading systems, and any other persons engaged in transactions for the accounts of others. -
Who is the stock market controlled by?
The U.S. Securities and Exchange Commission regulates the stock market, and the SEC's mission is to “protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation." Historically, stock trades likely took place in a physical marketplace.
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