What does the SEC
Securities and Exchange Commission (SEC)
(SEC) Established in 1934, the independent federal investor protection agency in the United States with extensive powers deriving primarily from the Securities Act of 1933, the Securities Exchange Act of 1934 and the investment company and investment adviser laws dating from 1940 . As a result of these laws, the SEC has issued a wealth of detailed regulations, which it monitors compliance with with around 2,000 employees. Her main areas of activity are: monitoring of on-exchange and over-the-counter securities trading, corporate disclosure (especially when issuing) and exercising shareholders 'voting rights, as well as representing shareholders' interests in restructuring proceedings. Intensive supervision is subsidiary in many areas as the primary responsibility lies with so-called self-regulatory organizations, the twelve stock exchanges registered with the SEC, the National Association of Securities Dealers, the clearing agencies and the Municipal Securities Rule-Making Board. A particularly notable SEC initiative ended the New York Stock Exchange's commission cartel, which had existed since 1792, in 1977.
The Securities and Exchange Commission (SEC) was established in 1934 as the federal regulator of securities trading within the United States under federal law, the Securities Exchange Act of 1933. The SEC has legislative, judicial and executive powers and thus represents a strong concentration of power.
Literature: Merkt, H., Securities and Exchange Commission (SEC), in: Manual dictionary of accounting and auditing, Stuttgart 2002, Sp. 2181-2187. Internet: http://www.sec.gov.
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