Securities and Exchange Commission
GPTKB entity
Statements (400)
| Predicate | Object |
|---|---|
| gptkbp:instance_of |
gptkb:government_agency
gptkb:Company gptkb:Securities_and_Exchange_Commission gptkb:New_Deal gptkb:Legislative_body gptkb:organization |
| gptkbp:acquired |
gptkb:Refinitiv
gptkb:Borsa_Italiana |
| gptkbp:acquisition |
gptkb:MTS_S.p._A.
gptkb:FTSE_International_Limited gptkb:LCH._Clearnet gptkb:Refinitiv gptkb:Borsa_Italiana |
| gptkbp:acquisition_year |
gptkb:2007
|
| gptkbp:addresses |
intellectual property issues
trade barriers |
| gptkbp:administers |
gptkb:Securities_Act_of_1933
gptkb:Securities_Exchange_Act_of_1934 |
| gptkbp:advises |
gptkb:government
|
| gptkbp:advocates_for |
gptkb:sustainable_development
trade liberalization inclusive trade policies |
| gptkbp:analyzes |
trade data
|
| gptkbp:annual_report |
published yearly
|
| gptkbp:appointed_by |
gptkb:President_of_the_United_States
|
| gptkbp:brand_recognition |
well-known brand globally
|
| gptkbp:budget |
approximately $1.8 billion
approximately $2 billion approximately $1.8 billion (2021) |
| gptkbp:cabinet_member |
gptkb:Gary_Gensler
gptkb:Joseph_P._Kennedy gptkb:Chairman |
| gptkbp:capacity |
over 1 billion shares per day
|
| gptkbp:capital |
over £4 trillion
|
| gptkbp:ceo |
gptkb:David_Schwimmer
gptkb:Xavier_Rolet |
| gptkbp:collaborates_with |
international organizations
other regulatory agencies |
| gptkbp:community_engagement |
active in community initiatives
|
| gptkbp:composed_of |
gptkb:members
five commissioners |
| gptkbp:conducts |
gptkb:market_research
investigations public hearings rulemaking processes policy dialogues rulemaking joint studies |
| gptkbp:country |
gptkb:United_States
|
| gptkbp:created_by |
gptkb:Securities_Exchange_Act_of_1934
|
| gptkbp:develops |
strategic initiatives
strategic partnerships trade policies |
| gptkbp:dividend_yield |
regular dividends
|
| gptkbp:divisions |
gptkb:Investment_Management
gptkb:Division_of_Trading_and_Markets gptkb:Office_of_Investor_Education_and_Advocacy gptkb:LCH._Clearnet Enforcement Division of Corporation Finance Division of Enforcement Division of Investment Management Corporation Finance Economic and Risk Analysis Trading and Markets |
| gptkbp:driver |
gptkb:Paul_Tracy
|
| gptkbp:economic_impact |
significant economic impact
|
| gptkbp:employees |
over 1,000
2,500 (2020) over 2,500 |
| gptkbp:encourages |
sustainable practices
fair trade practices investment in infrastructure public-private partnerships responsible business conduct |
| gptkbp:enforces |
gptkb:deception
securities laws market manipulation anti-fraud provisions federal securities laws insider trading insider trading laws civil enforcement criminal referrals |
| gptkbp:engages_in |
stakeholders
local communities |
| gptkbp:enhances |
competitiveness
cooperation between countries trade capacity |
| gptkbp:established |
1934
|
| gptkbp:established_in |
gptkb:governments
gptkb:Securities_Exchange_Act_of_1934 gptkb:Constitution_of_India 1934 |
| gptkbp:evaluates |
gptkb:economic_policies
|
| gptkbp:facilitates |
knowledge sharing
market access joint ventures technology transfer business matchmaking trade education programs |
| gptkbp:financial_reports |
transparent reporting practices
|
| gptkbp:financial_stability |
maintains financial stability
|
| gptkbp:financials |
various financial products
investment in fintech offers educational resources. various derivatives |
| gptkbp:first_introduced |
1951
|
| gptkbp:focuses_on |
bilateral trade agreements
|
| gptkbp:formed |
1934
|
| gptkbp:fosters |
gptkb:cultural_exchange
|
| gptkbp:founded |
1801
1934 |
| gptkbp:global_presence |
global reach
|
| gptkbp:governance |
high standards
|
| gptkbp:has_a_commission_for |
five commissioners
|
| gptkbp:has_a_focus_on |
environmental, social, and governance (ESG) issues
market integrity insider trading regulations |
| gptkbp:has_a_website |
www.sec.gov
|
| gptkbp:has_authority_over |
publicly traded companies
public companies broker-dealers securities exchanges investment advisors investment companies self-regulatory organizations suspend trading delist securities private securities offerings to revoke registration to suspend trading |
| gptkbp:has_history |
significant enforcement actions
|
| gptkbp:has_meetings |
gptkb:President_of_the_United_States
|
| gptkbp:has_mission |
protect investors and maintain fair markets
|
| gptkbp:has_role |
financial stability
mergers and acquisitions initial public offerings (IPOs) disclosure requirements enforcing securities laws regulating exchange-traded funds (ETFs) regulating private placements |
| gptkbp:headquartered_in |
gptkb:Washington,_D._C.
|
| gptkbp:headquarters |
gptkb:Washington,_D._C.
gptkb:London,_England 10 Paternoster Square, London |
| gptkbp:historical_significance |
one of the oldest stock exchanges
|
| https://www.w3.org/2000/01/rdf-schema#label |
Securities and Exchange Commission
|
| gptkbp:includes |
business representatives
|
| gptkbp:includes_provisions_for |
specific criteria
|
| gptkbp:industry |
gptkb:financial_services
|
| gptkbp:influence |
fines
penalties |
| gptkbp:innovation |
continuous innovation efforts
|
| gptkbp:investment |
held annually
active engagement provides various investment opportunities |
| gptkbp:investor_services |
various services offered
|
| gptkbp:involves |
trade negotiations
|
| gptkbp:is_a_member_of |
gptkb:International_Organization_of_Securities_Commissions
gptkb:International_Organization_of_Securities_Commissions_(IOSCO) |
| gptkbp:is_an_independent_agency |
of the U. S. federal government
|
| gptkbp:is_involved_in |
anti-money laundering efforts
initial public offerings enforcement actions cybersecurity regulations whistleblower programs international regulatory cooperation international securities regulation regulating investment advisors regulating credit rating agencies regulating mutual funds capital markets oversight regulating crowdfunding regulating private placements regulating digital assets regulating exchange-traded funds regulating securities offerings. financial technology (fintech) regulations |
| gptkbp:is_led_by |
gptkb:Chairman
five commissioners the chairperson |
| gptkbp:is_protected_by |
gptkb:investors
|
| gptkbp:is_recommended_by |
grants-in-aid
|
| gptkbp:issues |
gptkb:regulations
guidance joint statements administrative orders no-action letters interpretive releases investor alerts guidance for companies guidance on digital assets |
| gptkbp:jurisdiction |
gptkb:United_States
|
| gptkbp:key_people |
gptkb:Gary_Gensler
|
| gptkbp:located_in |
gptkb:London
|
| gptkbp:market |
monitoring activities
real-time data services |
| gptkbp:market_cap |
£5.5 billion (2020)
|
| gptkbp:market_segment |
ETFs
fixed income bonds equities derivatives |
| gptkbp:meets |
regularly
|
| gptkbp:mission |
protect investors
facilitate capital formation maintain fair, orderly, and efficient markets |
| gptkbp:monitors |
market activities
trade compliance trade flows |
| gptkbp:net_income |
£300 million
|
| gptkbp:notable_for |
high speed
|
| gptkbp:notable_products |
over 2,000
|
| gptkbp:occurs_annually |
gptkb:2003
|
| gptkbp:office |
regional offices
|
| gptkbp:operates |
gptkb:London_Stock_Exchange
|
| gptkbp:operating_hours |
8:00 AM to 4:30 PM GMT
|
| gptkbp:operating_income |
£500 million
|
| gptkbp:organizes |
workshops
|
| gptkbp:oversees |
stock exchanges
securities industry mutual funds broker-dealers securities exchanges investment advisors self-regulatory organizations |
| gptkbp:parent_agency |
gptkb:U._S._Department_of_the_Treasury
|
| gptkbp:parent_company |
gptkb:LSEG_Holdings
London Stock Exchange Group plc |
| gptkbp:participates_in |
the Financial Stability Oversight Council
|
| gptkbp:partnership |
gptkb:Eurex_Exchange
gptkb:Intercontinental_Exchange gptkb:Euronext gptkb:NASDAQ gptkb:Cboe_Global_Markets gptkb:SIX_Swiss_Exchange gptkb:Tokyo_Stock_Exchange gptkb:Singapore_Exchange gptkb:Borsa_Istanbul gptkb:CME_Group gptkb:Deutsche_Börse gptkb:Hong_Kong_Exchanges_and_Clearing BME Spanish Exchanges |
| gptkbp:partnerships |
various financial institutions
collaborations with global exchanges |
| gptkbp:periodicity |
every five years
|
| gptkbp:predecessor |
gptkb:Federal_Trade_Commission
|
| gptkbp:promotes |
innovation
financial literacy regional integration investment opportunities capital formation economic diversification economic resilience investor education fair and efficient markets gender equality in trade fairness in securities markets |
| gptkbp:provides |
gptkb:educational_resources
networking opportunities policy recommendations technical assistance advisory services market intelligence investor education guidance to investors comment letters to companies comment letters comment periods investor resources |
| gptkbp:provides_oversight_for |
self-regulatory organizations
|
| gptkbp:publishes |
gptkb:reports
|
| gptkbp:purpose |
protect investors
facilitate capital formation maintain fair, orderly, and efficient markets regulate the securities industry facilitate economic and trade relations |
| gptkbp:rank |
top stock exchanges by market capitalization
|
| gptkbp:regulates |
stock exchanges
public companies securities industry mutual funds broker-dealers investment advisors |
| gptkbp:regulatory_compliance |
gptkb:FCA
adheres to regulations |
| gptkbp:reports_to |
gptkb:government_officials
gptkb:United_States_Congress |
| gptkbp:requires |
financial disclosures
disclosure of financial information public companies to disclose financial information |
| gptkbp:responsible_for |
maintaining market integrity
distribution of tax revenues regulating mutual funds the Investment Advisers Act of 1940 facilitating capital formation the Securities Exchange Act of 1934 the Investment Company Act of 1940 the Securities Act of 1933 enforcing the Dodd-Frank Act enforcing the Sarbanes-Oxley Act protecting investors from fraud |
| gptkbp:resulted_in |
car damage
|
| gptkbp:revenue |
£1.1 billion
£2.1 billion (2020) |
| gptkbp:reviews |
financial position of states
|
| gptkbp:service |
gptkb:advertising
clearing services financial planning services insurance services investment services risk management services wealth management services advisory services commercial banking services data analytics services investment banking services infrastructure services derivatives trading financial consulting services stock trading retail banking services compliance services real estate services financial advisory services asset management services foreign exchange services financial reporting services financial risk assessment services bond trading settlement services regulatory services index services technology services sustainability services financial analysis services listing services blockchain services financial modeling services private equity services capital markets services corporate governance services financial forecasting services transaction services pension services market surveillance services financial education services investor relations services venture capital services cryptocurrency services financial compliance services digital asset services hedge fund services financial auditing services mutual fund services financial technology services exchange-traded fund services |
| gptkbp:services |
clearing services
market data derivatives trading stock trading bond trading settlement services listing services |
| gptkbp:staff |
over 4,000
|
| gptkbp:stock_exchange |
SETS
|
| gptkbp:stock_symbol |
gptkb:LSE
|
| gptkbp:strategic_goals |
2022-2026
long-term growth strategies to enhance investor protection to foster a diverse and inclusive workforce to promote capital formation |
| gptkbp:subsidiary |
gptkb:FTSE_Russell
gptkb:Borsa_Italiana |
| gptkbp:supports |
gptkb:economic_development
small and medium enterprises capacity building trade facilitation measures trade finance solutions export promotion digital trade initiatives |
| gptkbp:sustainability_initiatives |
various programs
|
| gptkbp:technology |
advanced trading technology
|
| gptkbp:term_length |
five years
|
| gptkbp:took_place_at_location |
gptkb:Cleveland_Grand_Prix
|
| gptkbp:took_place_in_event |
Champ Car race
|
| gptkbp:trade |
gptkb:LON:_LSEG
|
| gptkbp:trends |
follows global market trends
|
| gptkbp:type |
gptkb:public_company
|
| gptkbp:values |
fluctuates based on market conditions
|
| gptkbp:website |
www.lseg.com
www.londonstockexchange.com www.sec.gov |
| gptkbp:works_with |
gptkb:Financial_Industry_Regulatory_Authority
gptkb:Public_Company_Accounting_Oversight_Board self-regulatory organizations |
| gptkbp:bfsParent |
gptkb:United_States_government
gptkb:Thomas_Edison |
| gptkbp:bfsLayer |
2
|