Securities and Exchange Commission

US.

(SEC).

The Securities and Exchange Commission is an independent agency which has primary responsibility for enforcing federal securities laws and regulating the securities industry, the stock and options exchanges, and other electronic securities markets in the United States.

See also

• Bad actor
• Depository Trust Company
• Division of Examinations
• Financial Industry Regulatory Authority
• OCIE
• Public Company Accounting Oversight Board
• Regulation D
• Regulation S-K
• Rule 144A