Difference between FINRA and the SEC

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In a nutshell, FINRA is the main organization that monitors and regulates U.S. stockbrokers and brokerage firms. The mission of the Securities and Exchange Commission (SEC) is to ensure fairness for investors. The SEC is the primary overseer of the U.S. securities markets and has a broad reach. It is a government organization and has oversight of several other agencies (including FINRA). It is colloquially known as the "watchdog of Wall Street."
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