What Is Securities And Exchange Commission
For those people that don't work in it, the business of selling, buying and trading securities in public companies is a very confusing and involved process. To be true, there are even some people that have worked in the industry for years that couldn't explain the history or significance of some of the agencies that are involved. Although the stock market might seem like a chaotic place, there are several organizations that are charged with keeping track of the transactions and making sure they are all following the regulations that are mandated by the federal government. The agency responsible for this is called the Securities and Exchange Commission and it is one of the biggest assets that investors have in the market today.
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History Of Securities And Exchange Commission
The Securities and Exchange Commission was formed in the year 1934 as the first non-partisan, quasi-judicial agency designed to regulate the transactions that happen on the stock market and make sure that those that are in power in certain brokerages and companies are no abusing their position and committing crimes against members of the public that have invested their money in their operations. Formed in the years following the Great Depression, the SEC was a signal to the United States citizens that the government was personally invested in preventing further fraud in its markets.
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Purpose Of Securities And Exchange Commission Agency
Although it is not the way the market was intended to be used, more and more uninformed investors are looking to ventures in the stock market as the way that they will provide for their retirement, their children's college education, and the vacation home that they've always wanted. The government realizes that the average American investor is counting on the fact that the market will operate in ways that are ethical and honest. That's why it set up the Securities and Exchange Commission to make sure that companies that are trading on the exchanges, along with the banks and brokers that facilitate the trading are complying with all laws pertaining to trade.
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Responsiblity Of SEC Agency
This means that the Securities and Exchange Commission enforces the laws that simply stipulate that companies and brokers must be completely transparent with the people that have invested and that are thinking about investing in the market. The Commission is set up to investigate suspicion of price or quote manipulation, insider trading, and emerging companies that seek capital without a proven business plan. Learn more about how to protect your investments at www.tcc5.com.
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- An independent regulatory agency with people appointed by Bush would have not done any better. Look at the Securities and Exchange Commission, for example.Read more comments by CaptainVideo
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- [...] whistle-blogging about it. Many federal and state laws protect "whistleblowers" [...] , like reporting violations of the Securities and Exchange Commission rules or other fraud [...] without reporting it to a government agency may not be protected. See next [...] Read more comments by Wordpress auto content
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- [...] can stoke market turmoil. The Securities and Exchange Commission, divided along party lines [...] fanned market volatility, prompting hedge funds and other aggressive investors to target [...] the market. The balance comes, the agency said, because the "circuit [...] Read more comments by pfl26
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- [...] planet is the SEC on? The Securities and Exchange Commission lowered itself another notch [...] Madoff’s $50 billion fraud; the agency that spent even longer constructing a [...] oligopoly that still threatens investors; the agency that in 2004 encouraged Wall Street [...] Read more comments by LAnon
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- [...] billion in taxpayer money to a government agency that had just awarded her husband& [...] s private investment firm reported to the Securities and Exchange Commission that it and [...] there was no connection between the legislation and the contract signed Nov. 13, and [...] Read more comments by RalphyBoy
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