Friday, March 29, 2024

US Securities and Exchange Commission

by Hideo Nakamura
US Securities and Exchange Commission

US Securities and Exchange Commission (SEC)

The US Securities and Exchange Commission (SEC) is an independent federal agency that has the authority to regulate the securities markets and protect investors. The SEC was created in 1934 under the Securities Exchange Act of 1934, which gave it broad powers to enforce federal securities laws through administrative proceedings, civil actions, criminal prosecutions, and other means. The mission of the SEC is to protect investors; maintain fair, orderly, and efficient markets; facilitate capital formation; promote economic growth by encouraging capital investment; detect violations of securities law; ensure compliance with disclosure regulations for publicly traded companies; and provide oversight over self-regulatory organizations such as exchanges or clearing houses.

The SEC regulates many aspects of financial services including stockbrokers, mutual funds, public companies’ disclosures related to their business operations or financial condition in accordance with generally accepted accounting principles (GAAP), insider trading activities by corporate officers or directors due to access they have to nonpublic company information not available generally available but important to inform investor decisions on whether they should buy or sell a security such as stocks or bonds. It also requires broker dealers who conduct transactions in any type of security must register with them unless otherwise exempt from registration requirements like certain types of government entities dealing exclusively within their own state boundaries only. Additionally if any individuals are found violating these rules then enforcement action can be taken against them which could include fines levied against those responsible parties along with suspension from being able trade further until corrective measures have been met satisfactorily according their discretion.

In recent years there has been increased focus on cryptocurrencies by regulators around world including United States where SEC issued landmark ruling late 2017 declaring Bitcoin an asset class subject regulation rather than currency like USD would traditionally be treated so this applies same rules applicable other investments when investing cryptos such needing registered brokers/dealers handle transactions customers adhere antimony laundering requirements etcetera order protect investors best interests all times keep market functioning properly efficiently without disruption manipulation any kind occurring potentially cause harm those involved process financially speaking at least some degree _

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