What is SEC (Securities and Exchange Commission)?

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Accepted Answer

The Securities and Exchange Commission (SEC) is an independent agency of the United States federal government responsible for protecting investors, maintaining fair and orderly functioning of the securities markets, and facilitating capital formation. Established by the Securities Exchange Act of 1934, the SEC enforces federal securities laws and oversees the nation's stock and options exchanges, as well as the activities of brokers, dealers, and investment advisers.

SEC (Securities and Exchange Commission)

What is SEC (Securities and Exchange Commission)?

What is the primary role of the SEC in protecting investors and maintaining market integrity?

How does the SEC integrate Anti-Money Laundering (AML) and Know Your Customer (KYC) requirements into its regulatory framework?

What is the SEC's role in enforcing compliance with U.S. economic sanctions and OFAC regulations?

How does the SEC's regulatory oversight extend to international markets and foreign entities?

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