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How does the SEC protect the average investor? |
How does the SEC protect the average investor? http://www.sec.gov/about/whatwedo.shtml Primarily through requiring that companies disclose all material facts and risks. After that, it serves in a supervisory capacity to protect investors from fraud, after the NASD and the exchanges have taken direct action. They also police investment advisor filings and complaints against them under Federal statutes. |
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