Back to Home
SEC
(Securities and Exchange Commission)
The SEC is the primary U.S. regulator overseeing securities markets, enforcing federal laws, and protecting investors. Established after the 1929 crash, it now monitors $115 trillion in securities transactions annually through disclosure requirements and market surveillance.
Key functions include reviewing IPO filings (1,000+ annually), enforcing insider trading laws ($4.8 billion in penalties in 2022), and regulating investment advisors ($110 trillion AUM). The SEC's Regulation Best Interest (Reg BI) sets standards for broker-dealers, while its Climate Disclosure Proposal would mandate ESG reporting. Crypto assets have become a priority, with 30+ enforcement actions in 2023 against unregistered ICOs and exchanges like Coinbase.
Key functions include reviewing IPO filings (1,000+ annually), enforcing insider trading laws ($4.8 billion in penalties in 2022), and regulating investment advisors ($110 trillion AUM). The SEC's Regulation Best Interest (Reg BI) sets standards for broker-dealers, while its Climate Disclosure Proposal would mandate ESG reporting. Crypto assets have become a priority, with 30+ enforcement actions in 2023 against unregistered ICOs and exchanges like Coinbase.