U.S. Securities and Exchange Commission

U.S. Securities and Exchange Commission
Seal of the United States Securities and Exchange Commission.svg
Seal of the U.S. Securities and Exchange Commission
US Security and Exchange Commission Office photo D Ramey Logan.jpg
U.S. Securities and Exchange Commission headquarters in Washington, D.C.
Agency overview
FormedJune 6, 1934 (1934-06-06)
JurisdictionUnited States federal government
HeadquartersWashington, D.C., U.S.
Employees4,807 (2022)[1]
Agency executive
Websitewww.sec.gov

The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street Crash of 1929.[2][3][4] The primary purpose of the SEC is to enforce the law against market manipulation.[5][6]: 2 

In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes. The SEC was created by Section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. § 78d and commonly referred to as the Exchange Act or the 1934 Act).[7]

  1. ^ FY 2023 Congressional Budget Justification (PDF). U.S. Securities and Exchange Commission. 2022. p. 16.
  2. ^ Van Loo, Rory (August 1, 2018). "Regulatory Monitors: Policing Firms in the Compliance Era". Faculty Scholarship.
  3. ^ Cite error: The named reference :3 was invoked but never defined (see the help page).
  4. ^ Cite error: The named reference divisions was invoked but never defined (see the help page).
  5. ^ SEC (June 10, 2013). "What We Do". SEC.gov. U.S. Securities and Exchange Commission. Retrieved March 24, 2017.
  6. ^ Hirst, Scott (July 1, 2018). "The Case for Investor Ordering". The Harvard Law School Program on Corporate Governance Discussion Paper. No. 2017-13.
  7. ^ "Securities and Exchange Commission (SEC) - Overview, History & Setup". Corporate Finance Institute. Retrieved April 16, 2021.

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