Securities and Exchange Commission (SEC) (Authority)

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Securities and Exchange Commission (SEC) (Authority)

Name: Securities and Exchange Commission (SEC)

Description:

The Securities and Exchange Commission (SEC) is a federal agency in the United States tasked with regulating the securities industry. Established by the Securities Exchange Act of 1934 in response to the stock market crash of 1929, the SEC's mission is to protect investors, maintain fair and orderly markets, and facilitate capital formation.

Location: United States

Key Documents:

Securities Act of 1933

A law that regulates the offer and sale of securities to protect investors from fraud.

Securities Exchange Act of 1934

A federal law governing the secondary trading of securities in the USA, establishing the SEC's authority.

Investment Company Act of 1940

A law that regulates the organization of investment companies and their activities.

Investment Advisers Act of 1940

A law that regulates investment advisers and requires them to register with the SEC.

Sarbanes-Oxley Act of 2002

A law aimed at increasing transparency in financial reporting and holding corporate executives accountable.

Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

A comprehensive legislation aimed at reducing risks in the financial system and enhancing consumer protection.

Updated:	2024-07-23 13:41:49
Created:	2023-09-22 17:54:14

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Securities and Exchange Commission (SEC) (Authority)