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gptkbp:instance_of
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gptkb:government_agency
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gptkbp:collaborations
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gptkb:Bank
gptkb:Commodity_Futures_Trading_Commission_(CFTC)
gptkb:Public_Company_Accounting_Oversight_Board_(PCAOB)
state securities regulators
Financial Industry Regulatory Authority (FINRA
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gptkbp:enforces
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fraud cases
market manipulation cases
registration violations
reporting violations
insider trading cases
accounting fraud cases
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gptkbp:formed
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1934
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gptkbp:function
|
protect investors
facilitate capital formation
maintain fair, orderly, and efficient markets
regulate the securities industry
enforce federal securities laws
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gptkbp:headquarters
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gptkb:Washington,_D._C.
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https://www.w3.org/2000/01/rdf-schema#label
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U. S. Securities and Exchange Commission (SEC)
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gptkbp:investment
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disclosure requirements
regulation of broker-dealers
regulation of mutual funds
enforcement of anti-fraud provisions
regulation of investment advisers
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gptkbp:is_divided_into
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gptkb:Division_of_Trading_and_Markets
gptkb:Office_of_Investor_Education_and_Advocacy
gptkb:Office_of_the_General_Counsel
Division of Corporation Finance
Division of Enforcement
Division of Investment Management
Office of Public Affairs
Office of Risk Assessment
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gptkbp:jurisdiction
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gptkb:United_States
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gptkbp:key_people
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gptkb:Gary_Gensler
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gptkbp:parent_company
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gptkb:U._S._federal_government
|
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gptkbp:publishes
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gptkb:EDGAR_database
annual reports
guidance documents
investor bulletins
regulatory releases
|
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gptkbp:regulatory_compliance
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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
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gptkbp:website
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www.sec.gov
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gptkbp:bfsParent
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gptkb:collaboration
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gptkbp:bfsLayer
|
3
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