Regulators

U.S. Securities and Exchange Commission (SEC)

Founded in 1924, the Securities and Exchange Commission (SEC) is an independent quasi-judicial agency directly under the U.S. federal government. It is responsible for...

Organization Profile

Institutional nature
The U.S. Securities and Exchange Commission (SEC) is an independent quasi-judicial agency directly under the U.S. federal government. It is responsible for securities supervision and management in the U.S. and is the highest agency in the U.S. securities industry. The U.S. Securities and Exchange Commission (SEC) has quasi-legislative, quasi-judicial, and independent enforcement powers.
Institutional History
The SEC was established in 1934 under Section 4 of the U.S. Securities Exchange Act.
Institutional Functions
1) Responsible for enforcing federal securities regulations, developing relevant regulations and regulating the securities industry (stock and options exchanges) and other organizations such as the electronic securities market in the United States.
2) Require listed companies to disclose financial and other information to the public, such as regular quarterly and annual reports and other reports.
Regulatory Scope
The SEC oversees major players in the securities industry, including stock exchanges, securities brokers and dealers, investment advisors, and mutual funds.
Each year, the SEC conducts hundreds of civil enforcement actions against individuals and companies that violate the SEC. Typical violations are insider trading, accounting fraud, providing false or misleading information about securities and the company that issued them.

Regulatory Inquiries

1. Broker-dealer:
Go to https://www.sec.gov/data and select Broker-Dealers to see the latest list of companies.
2. Investment Consultants
Go to https://adviserinfo.sec.gov/, select Firm (company) and enter the company name to search

Related Links

National Futures Association (NFA): https://www.nfa.futures.org/
US Business Registration Data Center (manta): http://www.manta.com/mb
Commodity Futures Trading Commission (CFTC): http://www.cftc.gov
US Financial Industry Regulatory (FINRA): http://www.finra.org/
New York Stock Exchange (NYSE): http://www.nyse.com
Securities Investor Protection Corporation (SIPC): http:///www.sipc.org
Chicago Board of Trade (CBOT): http://www.cmegroup.com
Nasdaq: http://www.nasdaq.com

Contact information

Address: U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, 100 F Street, N.E., Washington, DC20549-0213
Tel: (800) 732-0330; 1- 202-551-6551 (For foreign investors)
Fax: (202) 772-9295
Web page comments: https://www.sec.gov/oiea/QuestionsAndComments.html
For more information please visit: https://www.sec.gov/contact-information/sec-directory

Relevant Navigation

No comments

No comments...