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“One of them is designated by the President as Chairman of the Commission — the agency's chief executive. By law, no more than three of the Commissioners may belong to the same political party, ensuring non-partisanship. The agency's functional responsibilities are organized into four Divisions and 18 Offices, each of which is headquartered in Washington, DC. The Commission's approximately 3,800 staff are located in Washington and in 11 Regional Offices throughout the country.” (US SEC Website) The SEC’s responsibilities are broken down into five categories and area stated as the following; interpret the federal securities laws, amend and release new and existing laws, oversee the inspection of securities firms, brokers, investment advisers, and ratings agencies, oversee private regulatory organizations in the securities, accounting, and auditing fields, and coordinate U...
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Common topics in this essay:
- Public Company Accounting Oversight Board; Will it Protect Investors?
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