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The U.S. Securities and Exchange Commission (SEC) is a federal agency. It holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

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Private equity firms said do better

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Private equity firms, which three years ago became subject to oversight by the U.S. Securities and Exchange Commission, have fixed some of their worst deficiencies although their transparency could still improve, an SEC official said.

HSBC fined over Swiss private bank

Money On Hook

HSBC will pay $12.5m to resolve charges that its Swiss private banking unit illegally offered services to U.S. clients without being properly registered, the U.S. Securities and Exchange Commission said on Tuesday.

SEC resolves Bank of America impasse

Bank Of America Corner Signs

The U.S. Securities and Exchange Commission resolved an impasse over punishing Bank of America in a mortgage-bond case, clearing the way for the lender to complete a $16.7bn global settlement, people familiar with the matter said.

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Private equity firms said do better

Private equity firms, which three years ago became subject to oversight by the U.S. Securities and Exchange Commission, have fixed some of their worst deficiencies although their transparency could still improve, an SEC official said.