Where is securities and exchange commission

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SEC Contact Center. The public is advised to send their comments, requests for clarification, and other concerns to the department concerned at the email address provided.

Daily Market Updates. Administrative Sanctions for violations in the field of securities and securities market for Ms. Nguyen Thi Ha Phuong. Sanctions for administrative violations in the field of securities and securities market against Mr. Vu Xuan Thuy Son. It was created by Congress in as the first federal regulator of the securities markets.

The SEC promotes full public disclosure, protects investors against fraudulent and manipulative practices in the market, and monitors corporate takeover actions in the United States. It also approves registration statements for bookrunners among underwriting firms. Generally, issues of securities offered in interstate commerce, through the mail or on the Internet, must be registered with the SEC before they can be sold to investors. Financial services firms—such as broker-dealers, advisory firms and asset managers, as well as their professional representatives—must also register with the SEC to conduct business.

In example: they would be responsible for approving any formal bitcoin exchange. The SEC's primary function is to oversee organizations and individuals in the securities markets, including securities exchanges, brokerage firms, dealers, investment advisors, and investment funds.

Through established securities rules and regulations, the SEC promotes disclosure and sharing of market-related information, fair dealing, and protection against fraud. It provides investors with access to registration statements, periodic financial reports, and other securities forms through its electronic data-gathering, analysis, and retrieval database, known as EDGAR. The Securities And Exchange Commission SEC was created in to help restore investor confidence in the wake of the stock market crash.

The SEC is headed by five commissioners who are appointed by the president, one of whom is designated as chair. Each commissioner's term lasts five years, but they may serve for an additional 18 months until a replacement is found.

To promote nonpartisanship, the law requires that no more than three of the five commissioners come from the same political party. The SEC consists of five divisions and 24 offices. Their goals are to interpret and take enforcement actions on securities laws, issue new rules, provide oversight of securities institutions, and coordinate regulation among different levels of government.

The five divisions and their respective roles are:. The SEC is allowed to bring only civil actions, either in federal court or before an administrative judge. Criminal cases fall under the jurisdiction of law enforcement agencies within the Department of Justice; however, the SEC often works closely with such agencies to provide evidence and assist with court proceedings.

In civil suits, the SEC seeks two main sanctions:. The first regulatory body of its kind, the SEC was introduced after the stock market crash of when public confidence in the securities industry was at a low. The SEC is primarily concerned with monitoring the key participants in the securities industry: securities exchanges, brokers and dealers, investment advisors and mutual funds.

It ensures that each discloses important market information to their investors and protect against financial crime including money laundering, terrorist financing, insider trading, and fraud. Coordinating across its five divisions, in its own words the SEC is responsible for:.

When firms are found to be in violation of securities laws, the SEC may recommend a federal investigation into their activities, before pursuing a prosecution through its Enforcement division. Each year, the SEC brings hundreds of enforcement actions against both firms and individuals which violate securities laws.