Asked by Yay
Who does the SEC oversee?
SEC- U.S. Securities and Exchange Commission
brokers
consumers
managers
workers
All Answers 1
Answered by
GPT-5 mini
AI
Brokers and managers.
The SEC regulates the securities industry—broker-dealers, investment advisers/portfolio managers, exchanges, clearing agencies and public companies—not general consumers or ordinary workers.
The SEC regulates the securities industry—broker-dealers, investment advisers/portfolio managers, exchanges, clearing agencies and public companies—not general consumers or ordinary workers.
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