Securities And Exchange Commission ( SEC )

Alexander V. Laskin

89 citations0/0 files storedWiley Encyclopedia of Management

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Securities Regulation and Market Practices Regulation and Compliance Studies Finance, Markets, and Regulation

Abstract

Abstract The United States Securities and Exchange Commission (SEC) is a government agency focused on protecting investors, maintaining capital markets, and facilitating capital formation. Starting in early 1930s, the SEC has been the key organization overseeing federal securities law compliance and bringing enforcement actions against violators. The SEC is headed by five commissioners appointed by the US President. Its 3500 employees are organized into 5 divisions and 19 offices as well as 11 regional offices. Bearing part of the blame for the recent stock market crashes, the SEC is now in the process of upgrading its structure, functions, and key operations.

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