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SEC – US Securities and Exchange Commission

The US Securities and Exchange Commission is an agency of the US federal government, which was founded by Franklin Roosevelt. The key mission of the regulatory body is to safeguard investors, to sustain the fair, systemic and effective markets. Moreover, it strives to ease capital formation.

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SEC – US Securities and Exchange Commission is an agency of the US federal government, which was founded by Franklin Roosevelt. The key mission of the regulatory body is to safeguard investors, to sustain the fair, systemic and effective markets. Moreover, it strives to ease capital formation.

Mission of SEC – US Securities and Exchange Commission

Whereas more and more new investors are seeking the protection of their assets, SEC’s mission is as compelling as it can get. The Commission monitors the major securities market participants. These include securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. The US Securities and Exchange Commission is highly concerned with encouraging the disclosure of significant market-related data. Its concerns also include preserving just business conduct, and safeguarding against fraud.

Each year the agency is bringing hundreds of civil enforcement actions against companies and individuals for breach of the securities laws. Such violations comprise insider trading, accounting fraud, and giving false or misleading data about securities and the companies that issue them.

Even though the agency is the key regulatory body of the US securities market, the SEC is working closely with a number of other institutions. These organizations are the Congress, other federal departments and groups, the self-regulatory organizations, and state securities regulators. The private sector organizations are also in cooperation with the SEC. Additionally, the Chairman of the Commission is the representative of the Financial Stability Oversight Council (FSOC).

Responsibilities of the US Securities and Exchange Commission

The responsibilities of the US Securities and Exchange Commission include:

⦁ Deducing and enforcing federal securities laws;
⦁ Issuing new rules and altering existing frameworks;
⦁ Supervising the inspection of securities firms, brokers, investment advisers, and ratings agencies;
⦁ Managing the private regulatory organizations in the securities, accounting, and auditing fields;
⦁ Organizing the US securities regulation with federal, state, and foreign authorities.

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