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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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BlackRock may face action over money manager

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BlackRock, the world’s biggest money manager, said regulators are considering filing action against the firm over a former money manager who used BlackRock funds to invest in a company with which he had financial ties.

SEC smacks NYSE for violating trading rules

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The New York Stock Exchange and several affiliates will pay a $4.5 million penalty to settle civil charges over what the SEC says were repeated failures to comply with exchange rules and federal laws.

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