Question: Security Exchange Commission ( SEC ) 1 . Find information about the role of the SEC in overseeing investment advisers and broker - dealers. 2

Security Exchange Commission (SEC)
1. Find information about the role of the SEC in overseeing investment advisers and broker-dealers.
2. Locate the SEC's online database for accessing public company filings (e.g., annual reports, quarterly filings). Take a screenshot of a company's 10-K.

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