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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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UBS steps up vetting of employees

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UBS has said it had expanded the number of employees that are subject to internal background checks to around 15 percent of its workforce in a move than came in the wake of numerous scandals.

Morgan Stanley reduces Q2 profit

Morgan Stanley HQ

Morgan Stanley reduced second-quarter earnings per share by 2 cents after reaching agreements to end mortgage-related lawsuits. The firm said it may face additional claims from authorities in California.

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