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Introduction To Securities And Exchange Commission

The Securities and Exchange Commission is also known as SEC. It is an independent agency of the government of United States. This agency is specifically designed to contribute the progress of full public disclosure and to safeguard the investing public against false and disingenuous practices in the securities markets. The SEC was established under the section 4 of the Securities Exchange Act of 1934. This US agency is composed of five commissioners appointed by the U.S. President and approved by the Senate. The following article features a brief introduction to Securities and Exchange Commission and how it operates.

About Securities and Exchange Commission headquarter; it is located in Washington D.C, and with nineteen offices. Moreover, this agency also has eleven regional offices throughout the United States. Within SEC, there are four main divisions which include Corporation finance, Trading and Markets, Investment management and Enforcement. Just going ahead with the introduction to SEC, the primary mission of this agency is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. Presently, SEC is responsible for administering 7 primary laws that govern the securities industry. These laws include the Security Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940 and Sarbanes-Oxley Act of 2002.

The administration authority given by Congress enables the SEC to bring civil administration actions against individuals or companies alleged to have confided fraud, offered deceitful and false information, or engaged in insider trading or other violations of the securities laws. One of the major sources of information on which the SEC relies to bring enforcement action is investors themselves. This US agency also works with criminal law administrative agencies to prosecute individuals and companies alike for offenses which include a criminal violation. The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. To help support investor education, the SEC provides educational information on their site including EDGAR database of disclosure documents that public companies are required to file with the Commission.