Essential

SEC

Securities and Exchange Commission - US regulator for securities markets.

Definition

SEC (Securities and Exchange Commission) is the US federal agency responsible for regulating securities markets, protecting investors, and maintaining fair markets. While CFTC handles forex, the SEC regulates stocks, ETFs, and increasingly cryptocurrency.

How It Works

Regulates US securities markets
Enforces securities laws and prosecutes fraud
Oversees broker-dealers and investment advisers
Increasingly active in crypto regulation

Trading Tips

SEC doesn't directly regulate forex (that's CFTC)

Check SEC EDGAR for company filings

SEC enforcement actions can impact crypto markets

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