The SEC is the primary federal regulator of the US securities markets, created by the Securities Exchange Act of 1934 after the 1929 crash.
What they do
The SEC requires public companies to disclose material information, regulates exchanges, broker-dealers and investment advisers, oversees mutual funds, and brings civil enforcement actions for securities fraud, insider trading and disclosure violations.
Spotted something wrong, missing or worth adding? Tell our editors. Every submission
is reviewed and verified against its source before anything changes — nothing you send appears on the
site automatically.
Thank you — our editors will review this
Your suggestion has been received. Contributions from practitioners keep these profiles accurate. Nothing appears on the site until an editor has verified it against its source.
