A short course on combating White-Collar crime. Mainly done via the U.S court system. It is divided into two main categories: federal courts and state courts. The Securities and Exchange Commission, or SEC for short, is a federal government organization. The SEC was established in 1934 and functions independently in the United States. It was founded in reaction to the 1929 stock market crash and the subsequent Great Depression. The SEC’s key tasks include investor protection and maintaining fair and functioning markets. This is accomplished by managing and regulating the securities sector. Exchanges, brokers, dealers, investment advisers, and mutual funds all fall under this category.
The SEC’s function is critical for investors to have access to accurate and trustworthy securities information. Listed firms are required to disclose important financial and other information to the public. This, presumably, allows investors to make sensible decisions based on educated analysis and judgment. A variety of financial crimes are prohibited under federal securities regulations. Insider trading, fraud, and market manipulation are examples. The SEC is to enforce these laws. The SEC helps to create honest markets by maintaining these regulations. This should boost investor confidence and attract finance for businesses.
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