which agency regulates investment banking firms 
the securities and exchange commission sec oversees the operations of investment banks as these banks deal with securities 12the bottom linefinancial institutions help keep capitalist economies running by matching people who need funds with those who can lend or invest it they offer a wide range of business operations within the financial services sector including banks credit unions insurance companies and brokerage firms regulatory agencies such as the occ the sec the fdic and the federal reserve oversee the operations of financial institutions in the united states 