U. S. Securities and Exchange Commission
GPTKB entity
Statements (111)
| Predicate | Object |
|---|---|
| gptkbp:instance_of |
gptkb:government_agency
|
| gptkbp:appointed_by |
gptkb:President_of_the_United_States
|
| gptkbp:budget |
approximately $1.8 billion (2021)
|
| gptkbp:collaborates_with |
other regulatory agencies
|
| gptkbp:composed_of |
five commissioners
|
| gptkbp:conducts |
investigations
public hearings enforcement actions |
| gptkbp:created_by |
gptkb:Securities_Exchange_Act_of_1934
|
| gptkbp:divisions |
gptkb:Investment_Management
gptkb:Office_of_International_Affairs gptkb:Division_of_Trading_and_Markets gptkb:Office_of_Investor_Education_and_Advocacy gptkb:Office_of_the_General_Counsel gptkb:investment_banking Enforcement Division of Corporation Finance Division of Enforcement Division of Investment Management Office of Public Affairs Economic and Risk Analysis Trading and Markets Office of Risk Assessment |
| gptkbp:enforces |
gptkb:Investment_Company_Act_of_1940
gptkb:Securities_Act_of_1933 gptkb:Securities_Exchange_Act_of_1934 gptkb:Investment_Advisers_Act_of_1940 securities laws market manipulation securities fraud federal securities laws insider trading securities law violations |
| gptkbp:established |
1934
|
| gptkbp:formed |
1934
|
| gptkbp:has_a_commission_for |
five commissioners
|
| gptkbp:has_a_website |
www.sec.gov
|
| gptkbp:has_authority_over |
private companies
public companies broker-dealers investment advisors investment companies transfer agents |
| gptkbp:has_mission |
protect investors and maintain fair markets
|
| gptkbp:has_role |
mergers and acquisitions
corporate governance standards shareholder rights financial reporting standards initial public offerings (IPOs) insider trading investigations enforcing insider trading laws market manipulation investigations proxy voting rules overseeing self-regulatory organizations (SROs) |
| gptkbp:headquarters |
gptkb:Washington,_D._C.
|
| https://www.w3.org/2000/01/rdf-schema#label |
U. S. Securities and Exchange Commission
|
| gptkbp:investigates |
securities fraud
|
| gptkbp:is_involved_in |
regulating securities markets
regulating investment advisors regulating broker-dealers regulating credit rating agencies regulating mutual funds |
| gptkbp:is_led_by |
gptkb:Chairman
|
| gptkbp:is_part_of |
gptkb:the_federal_government_of_the_United_States
|
| gptkbp:is_protected_by |
gptkb:investors
|
| gptkbp:issues |
gptkb:regulations
guidance rules and regulations no-action letters interpretive releases investor alerts staff bulletins |
| gptkbp:jurisdiction |
gptkb:United_States_federal_government
|
| gptkbp:key_people |
gptkb:Gary_Gensler
|
| gptkbp:mission |
protect investors
facilitate capital formation maintain fair, orderly, and efficient markets |
| gptkbp:oversees |
stock exchanges
securities industry mutual funds broker-dealers investment advisors self-regulatory organizations |
| gptkbp:parent_agency |
gptkb:U._S._Department_of_the_Treasury
|
| gptkbp:promotes |
financial literacy
transparency in financial reporting investor protection capital formation fair and efficient markets |
| gptkbp:provides |
gptkb:educational_resources
guidance to investors comment periods for proposed rules |
| gptkbp:publishes |
gptkb:reports
|
| gptkbp:regulates |
stock exchanges
securities industry securities markets securities exchanges investment companies investment advisers |
| gptkbp:reports_to |
gptkb:United_States_Congress
|
| gptkbp:requires |
disclosure of financial information
|
| gptkbp:responsible_for |
regulating securities offerings
reviewing corporate filings monitoring corporate takeovers overseeing mutual funds protecting whistleblowers |
| gptkbp:staff |
approximately 4,500 employees
|
| gptkbp:strategic_goals |
2022-2026
|
| gptkbp:website |
www.sec.gov
|
| gptkbp:bfsParent |
gptkb:Herbert_Hoover
|
| gptkbp:bfsLayer |
3
|