The Securities and Exchange Commission (SEC) is the United State government’s commission, created by congress and headquartered in Washington DC, which aims to regulate the securities markets and protect investors by enforcing the Federal securities laws. The US Securities and Exchange Commission works closely with Tax Division in order to promote corporate integrity. Other than regulation and protection, SEC also monitors the corporate takeovers throughout the United States.

The Securities and Exchange Commission is composed of five Commissioners who are appointed by the President of the United States with the advice and consent of the Senate. The Commissioner terms last five years and is arranged in a systematic manner so that one Commissioner’s term ends on June 5 of each year. One of the Commissioners is designated as Chairman, SEC’s top Executive, by the US President. Christopher Cox is the current Chairman of the SEC.

SEC mission is to protect the investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC statutes are specifically designed to promote full public disclosure and to protect the investing public against fraudulent and manipulative practices in the securities markets. It is SEC’s responsibility to supervise seven major laws that govern the securities industry and these laws are:

• Securities Act of 1933.
• Securities Exchange Act of 1934.
• Public Utility Holding Company Act of 1935.
• Trust Indenture Act of 1939.
• Investment Company Act of 1940.
• Investment Advisory Act of 1940.
• Sarbanes-Oxley Act of 2002.

The different divisions and offices working under SEC are: Division of Corporation Finance, Division of Market Regulation, Division of Investment Management, Division of Enforcement, Office of Administrative Law Judges, Office of Administrative Services, Office of the Chief Accountant, Office of Compliance Inspection and Examinations, Office of Economic Analysis, Office of Equal Employment Opportunity, and Office of the Executive Director, etc.
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