A government commission created by Congress to regulate the securities markets and protect investors. In addition to regulation and protection, it also monitors. Home - Securities and Exchange Commission. Securities and Exchange Commission. About Us What We do. Powers and Functions · Mandate, Mission. The Securities and Exchange Commission (SEC) is a U.S. government agency that oversees securities transactions, activities of financial professionals an. Retrieved from " https: The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. You will soon receive an activation email. The Securities and Exchange Commission oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud. So far, only one individual is in jail for crime related to the crisis: The SEC holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States. To restore confidence, Congress passed the Securities Act of and the Securities Exchange Act of , which created the SEC. Common proceedings include cease and desist orders, revoking or suspending registration, and imposing bars or suspensions of employment. Die United States Securities and Exchange Commission SEC ist als US-Börsenaufsichtsbehörde für die Kontrolle des Wertpapierhandels in den Vereinigten Staaten zuständig. Oops, there's a problem. Thirdly, and much more important than the outright frauds, the SEC had to end the million-dollar insider maneuvers by top officials of major corporations, whereby insiders with access to much better information about the condition of the company knew when to buy or sell their own securities. The potential for big gains needs to be weighed against that of sizable losses. More Topics in this Section. Comment letters are issued by the SEC's Division of Corporation Finance in response to a company's public filing. The SEC's primary function is to oversee organizations and individuals in the securities markets, including securities exchanges, brokerage firms, dealers , investment advisors and various investment funds. Non-partisan , no more than three Commissioners may belong to the same political party. Generally, issues of securities offered in interstate commerce, through the mail or on the Internet, must be registered with the SEC before they can be sold to investors. Further, the act authorized the SEC to break up any unnecessarily large utility combinations into smaller, geographically based companies and to set up federal commissions to regulate utility rates and financial practices.