What Is The Insurance Term Sec Stand For And Who Has To Register With Them?

At the Securities and Commutation Committee (SEC), nosotros work together to make a positive bear on on America'southward economy, our capital markets, and people'due south lives.

For more than than 85 years since our founding at the height of the Cracking Depression, nosotros have stayed true to our mission of protecting investors, maintaining off-white, orderly, and efficient markets, and facilitating upper-case letter germination.

Our mission requires tireless commitment and unique expertise from our staff of dedicated professionals who care securely about protecting Principal Street investors and others who rely on our markets to secure their financial futures.

Learn more than nigh specific SEC functions and responsibilities carried out by various divisions and offices within our Washington D.C. headquarters and 11 regional offices around the country.

protecting investors image

Companies offer securities for sale to the public must tell the truth about their business, the securities they are selling, and the investment risks.

Those who sell and trade securities and offer advice to investors – including, for case, brokers, dealers, investment directorate, and exchanges – must treat investors fairly and honestly.

PROTECTING INVESTORS

Our focus on Main Street investors reflects the fact that American households own $38 trillion worth of equities — more than than 59 percent of the U.S. disinterestedness marketplace — either directly or indirectly through common funds, retirement accounts and other investments.

The federal securities laws we oversee are based on a uncomplicated and straightforward concept: everyone should be treated fairly and have access to certain facts about investments and those who sell them.

To achieve this, we require public companies, fund and asset managers, investment professionals, and other market participants to regularly disclose significant fiscal and other information so investors have the timely, authentic, and consummate data they need to make confident and informed decisions about when or where to invest.

Nosotros protect investors by vigorously enforcing the federal securities laws to concord wrongdoers accountable and deter future misconduct. We provide investor education and resources through our Function of Investor Education and Advocacy.

Larn more than near how we inform and protect people as they navigate the securities markets by visiting our investor education website Investor.gov for tools, resource, and initiatives tailored to Main Street investors.

Nosotros return hundreds of millions of dollars to harmed investors each year equally a upshot of our enforcement deportment confronting wrongdoers.

FACILITATING Uppercase FORMATION

Our regulatory government provides companies and entrepreneurs with a variety of avenues to access America's capital markets to help them create jobs, develop life-irresolute innovations and technology, and provide financial opportunities for those who invest in them.

At that place were well-nigh 3,400 reported public offerings in 2020 at a median size of $360 million and an average amount raised of $550 million.

Access to capital is especially disquisitional for minor businesses to grow and scale. Acquire more than about what we do to facilitate ways to enhance capital by visiting our small business information site as well as our Office of the Advocate for Minor Concern Capital Formation.

In 2020, nearly $5 trillion was raised in public and private securities offerings, promoting economic growth and job creation

Small businesses account for 65% of internet new jobs created.

Maintaining Fair, Orderly and Efficient Markets image

We monitor the activities of more than 28,000 entities in the securities industry, including investment advisers, banker-dealers, and securities exchanges.

MAINTAINING FAIR, ORDERLY AND EFFICIENT MARKETS

Our U.S. capital markets are the deepest, most dynamic, and nearly liquid in the world.

They also have evolved to get increasingly fast and extraordinarily complex.

Information technology is our job to be responsive and innovative in the face of significant market place developments and trends. Equally technological advancements and commercial developments take inverse how our securities markets operate, our ability to remain an effective regulator requires us to continuously monitor the marketplace environment and, as appropriate, adjust and modernize our expertise, rules, regulations, and oversight tools and activities.

Learn more about our active engagement with innovators, developers, and entrepreneurs by visiting our Strategic Hub for Innovation and Financial Engineering science. And since making Wall Street work for Chief Street means gathering input from investors directly, please tell us virtually your own experiences and permit us know what y'all think nigh our various proposed rules.

We oversee approximately $115 trillion in securities trading on U.S. disinterestedness markets annually.

OUR MISSION CONTINUES

As we become forwards, our longstanding 3-function mission remains our touchstone.

We continue to review and recalibrate our efforts every bit we strive to fulfill that mission by elevating our performance through engineering, data analytics, and human upper-case letter.

We continue to innovate in response to evolving markets and inspire the full confidence of the investing public and market participants alike.

And nosotros keep to focus on the interests of long-term Primary Street investors who are entrusting their difficult-earned savings to our securities markets to fund dwelling purchases, college educations, and other important life events.