What are three primary roles of the Securities and Exchange Commission (SEC)?

Discussion question #1: Fin 370 (university of Phoniex).

1. Maintaining fairness and orderly function of the securities market: The SEC has the responsibility of maintaining integrity in financial markets through enforcement of federal securities laws. These laws protect investors from fraud, deceptive and fraudulent practices.

2. Registering securities companies and supervising them: The SEC encourages transparency in financial reports filed by public companies. It also monitors insider trading and establishes rules that will govern how securities offerings are structured.

3. Forcing civil sanctions against violators to securities laws. The SEC may bring administrative actions and civil suits against organisations or individuals suspected of breaking the law. It can also seek monetary penalties such as fines or disgorgement profit made by illegal activity or bans for employees working in certain positions within a company.

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