Securities and Exchange Commission (SEC)

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Term: Securities and Exchange Commission (SEC)

Definition:The SEC is the principal federal regulatory agency which regulates the securities industry. The main function of the SEC is to promote full disclosure and exists to protect investors, in the securities market, against practices that are fraudulent or manipulative. The SEC enforces several acts, including but not limited to the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940 and the Investment Advisers Act.

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26 - Compensation Committees: Framework for Executive Compensation Alignment 6
21 - Compensation for Business Leaders 19
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The ERI Distance Learning Center is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: https://www.nasbaregistry.org/

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