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Securities and Exchange Commission (SEC)

Intermediate
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What Is the Securities and Exchange Commission (SEC)?

The U.S. federal agency known as the Securities and Exchange Commission (SEC) was established in 1934 with the primary responsibility of regulating and supervising financial markets, particularly securities markets such as stocks and bonds. The mission of the SEC is to safeguard investors, uphold fair and efficient markets, and facilitate capital formation.

Key Functions and Responsibilities

Regulation and Enforcement: The SEC ensures the disclosure of crucial financial information by public companies and monitors for market manipulation, insider trading, and fraud.

Divisions:

- Division of Corporation Finance oversees the corporate disclosure of important information.

- Division of Trading and Markets establishes and maintains standards for fair, orderly, and efficient markets.

- Division of Investment Management regulates investment companies and advisers.

- Division of Enforcement investigates and prosecutes securities law violations.

- Division of Economic and Risk Analysis integrates economic analysis and data analytics into the SEC's mission.

EDGAR Database: The SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) database provides access to company filings, ensuring transparency and equal access to information for investors.

Historical Context

Dodd-Frank Act:

Following the 2008 Financial Crisis, the SEC gained increased authority to regulate financial markets and protect consumers through the Dodd-Frank Act.

Collaborations:

The SEC collaborates with the Commodity Futures Trading Commission (CFTC) to prevent illegal activities in financial markets.

The SEC plays a crucial role in upholding the integrity and stability of U.S. financial markets to ensure that investors have access to reliable information and that markets operate fairly.

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