The U.S. Securities and Exchange Commission (SEC) is a vital independent federal agency overseeing the nation's securities markets. Established to protect...
The SEC's primary mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
The SEC regulates securities exchanges, brokers, dealers, investment advisors, mutual funds, and public utility holding companies. It also oversees public companies' disclosure requirements.
The SEC protects investors by enforcing securities laws, requiring public companies to disclose financial and other information, and prosecuting financial fraud and misconduct.
Key enforcement areas include insider trading, accounting fraud, market manipulation, broker-dealer misconduct, and misrepresentation of investment products.