The SEC plays a crucial role in ensuring the integrity and transparency of the U.S. securities industry. It helps maintain investor confidence and promotes fair dealing in the marketplace.
The SEC's mission is to protect investors, maintain fair and orderly functioning of the securities markets, and facilitate capital formation
- Enforcement of Laws:
The SEC enforces laws against market manipulation and fraudulent activities, aiming to maintain fair and orderly markets
- Regulation of Securities Industry:
It oversees securities exchanges, brokers, dealers, investment advisors, and mutual funds, promoting fair dealing and the disclosure of important market information
- Investor Confidence:
One of the SEC's main goals is to restore and maintain investor confidence by preventing misleading sales practices and stock manipulations
- Capital Formation:
The SEC also plays a role in encouraging capital formation, which is essential for economic growth