Securities and Exchange Commission (SEC) | USAGov (2024)

FAQs

What problem did the Securities and Exchange Commission solve? ›

The Securities Exchange Act of 1934 established the SEC, mainly in response to the stock market crash of 1929 in the leadup to the Great Depression. The SEC brings civil action against those it alleges broke securities laws or regulations. The SEC also refers criminal cases to the U.S. Department of Justice (DOJ).

The Securities and Exchange Commission (SEC) oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud.

The Securities and Exchange Commission (SEC) is a U.S. government agency that oversees securities transactions, activities of financial professionals and mutual fund trading to prevent fraud and intentional deception. The SEC consists of five commissioners who serve staggered five-year terms.

Founded to help our country respond to the Great Depression, we're the agency that protects investors from misconduct, promotes fairness & efficiency in the securities markets, and facilitates capital formation for those looking to hire, innovate, and grow.

First, succumbing to the deregulatory climate that pervaded the government since the 1980s, the SEC dismantled crucial parts of the regulation established to protect investors and the markets. Second, the SEC failed to detect and stop widespread abuses by securities firms, costing investors billions of dollars.

The SEC put investors' needs over those of brokers, traders and corporations, which helped bring people back to the stock market, especially after World War II boosted the economy.

The U.S. Securities and Exchange Commission (SEC) is the U.S. federal agency responsible for regulating the securities markets and protecting investors. The SEC was established through the Securities Exchange Act of 1934, mainly in response to the stock market crash of 1929 that led to the Great Depression.

How far back does EDGAR data go? EDGAR started in 1994/1995. Paper copies of filing documents prior to 1994 may be available by filing a Freedom of Information Act request. See How To Access Or Request Records Not Accessible Via SEC Website.

We protect investors by vigorously enforcing the federal securities laws to ensure truth and fairness. We deter misconduct, hold wrongdoers accountable, and provide resources to help investors evaluate their investment choices and protect themselves against fraud.

How does the Securities and Exchange Commission SEC protect investors? ›

The SEC protects investors by requiring companies, fund and asset managers and investment professionals to disclose financial details on a regular basis in a standardized format so investors can have the information they need to make investment decisions.

The SEC's mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC has up to five Commissioners appointed by the President on the advice and consent of the Senate. No more than three Commissioners can be members of the same political party.

The Securities and Exchange Commission is a federal agency with important regulatory powers. The SEC seeks to ensure fair play in the market and that wrongdoers don't get away with defrauding investors.

Mandate: To provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk.

The SEC's Division of Enforcement investigates potential violations of securities laws and brings actions against those who commit fraud, insider trading, and other illegal activities involving the country's capital markets.

The SEC's mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC has up to five Commissioners appointed by the President on the advice and consent of the Senate.

The goal of the act was to create transparency in the financial statements of corporations. It established laws against misrepresentation and fraudulent activities in the securities markets. The Securities Act is enforced by the Securities and Exchange Commission, created by the Exchange Act of 1934.

The Exchange Act also protects investors by prohibiting fraud and establishing severe penalties for those who defraud investors, as well as those who engage in some trading practices that take advantage of information most investors do not have (such as insider trading).

The Securities and Exchange Commission (SEC) or the Commission is the national government regulatory agency charged with supervision over the corporate sector, the capital market participants, and the securities and investment instruments market, and the protection of the investing public.