What are the two securities regulation organizations?

The two primary securities regulation organizations in the United States are the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). The SEC is a federal agency responsible for enforcing securities laws, protecting investors, and maintaining fair and efficient markets. In contrast, FINRA is a self-regulatory organization that oversees brokerage firms and their registered representatives, ensuring compliance with industry rules and regulations. Together, they play crucial roles in the oversight and regulation of the securities industry.