|
gptkbp:instance_of
|
gptkb:government_agency
|
|
gptkbp:bfsLayer
|
3
|
|
gptkbp:bfsParent
|
gptkb:Franklin_D._Roosevelt
|
|
gptkbp:collaborations
|
gptkb:Bank
gptkb:Police_Department
gptkb:Commodity_Futures_Trading_Commission_(CFTC)
gptkb:Financial_Industry_Regulatory_Authority_(FINRA)
gptkb:International_Organization_of_Securities_Commissions_(IOSCO)
global regulatory standards
state securities regulators
bilateral agreements with foreign regulators
cross-border enforcement actions
|
|
gptkbp:community_engagement
|
public hearings
investor education programs
comment periods for proposed rules
outreach to small businesses
|
|
gptkbp:country
|
gptkb:United_States
|
|
gptkbp:employees
|
approximately 4,500
|
|
gptkbp:enforces
|
securities laws
suspensions
civil penalties
disgorgement of profits
criminal referrals
|
|
gptkbp:established
|
1934
|
|
gptkbp:governed_by
|
gptkb:Gary_Gensler
|
|
gptkbp:headquarters
|
gptkb:Washington,_D._C.
|
|
https://www.w3.org/2000/01/rdf-schema#label
|
Securities Exchange Commission
|
|
gptkbp:investment
|
preventing fraud
promoting transparency
ensuring fair markets
|
|
gptkbp:is_divided_into
|
gptkb:Division_of_Trading_and_Markets
gptkb:Office_of_Investor_Education_and_Advocacy
Division of Corporation Finance
Division of Enforcement
Division of Investment Management
|
|
gptkbp:jurisdiction
|
federal
|
|
gptkbp:parent_company
|
gptkb:U._S._federal_government
|
|
gptkbp:primary_function
|
regulating securities markets
|
|
gptkbp:publishes
|
annual reports
guidance documents
investor bulletins
regulatory releases
|
|
gptkbp:regulatory_compliance
|
gptkb:Sarbanes-Oxley_Act_of_2002
gptkb:Dodd-Frank_Wall_Street_Reform_and_Consumer_Protection_Act
gptkb:Investment_Company_Act_of_1940
gptkb:Securities_Act_of_1933
gptkb:Securities_Exchange_Act_of_1934
gptkb:Investment_Advisers_Act_of_1940
|
|
gptkbp:sustainability_initiatives
|
gptkb:EDGAR_system
data analytics
cybersecurity measures
|
|
gptkbp:website
|
www.sec.gov
|