Securities and Exchange Commission - Securities Laws, Sec Enforcement Authority, Further Readings

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The Securities and Exchange Commission (SEC) is the federal agency primarily responsible for administering and enforcing federal SECURITIES laws. The SEC strives to protect investors by ensuring that the securities markets are honest and fair. When necessary, the SEC enforces securities laws through a variety of means, including fines, referral for criminal prosecution, revocation or suspension of licenses, and injunctions.

Headquartered in Washington, D.C., the commission itself is comprised of five members appointed by the president; one position expires each year. No more than three members may be from one political party. With more than 900 employees, the agency has five regional and six district offices throughout the country and enjoys a generally favorable reputation.

CROSS-REFERENCES

Administrative Law and Procedure; Bonds; Mergers and Acquisitions; Securities.

Additional Topics

Securities and Exchange Commission - Securities Laws

In addition to federal statutory authority, the SEC has broad rule-making authority. It has used this power to fashion procedural and technical rules, define terms used in the laws, and make substantive rules implementing the laws. The SEC also devises forms that must be used to fulfill various requirements in the statutes and rules. Moreover, the SEC engages in a significant amount of informal la…

Securities and Exchange Commission - Sec Enforcement Authority

The SEC may conduct investigations to determine whether a violation of federal securities laws has occurred. The SEC has the power to subpoena witnesses, administer oaths, and compel the production of records anywhere in the United States. Generally, the SEC initially conducts an informal inquiry, including interviewing witnesses. This stage does not usually involve sworn statements or compulsory …

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