What is the U.S. federal government body that regulates the sale and listing of securities on U.S. financial markets.

Strayer fin 100 quiz 7 week 9 (chapter 13 & 14)

The U.S. federal government body that regulates the sale and listing of securities on U.S. financial markets is the Securities and Exchange Commission (SEC). The SEC was established in 1934 to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation in accordance with the Securities Exchange Act of 1934.

The SEC’s mission is achieved through a variety of activities, such as creating regulations for publicly offered securities; oversight of operations related to stock exchanges, broker-dealer firms, mutual funds, investment advisors and hedge funds; creating standards for public accounting practices; enforcement actions against individuals or entities who violate applicable laws or regulations; and providing educational resources for investors on topics like fraud prevention strategies.

To achieve these goals effectively, the SEC has five divisions: the Division of Corporation Finance which reviews registered offerings from companies seeking to issue securities; the Division of Trading & Markets which oversees brokers and dealers; Investment Management which monitors investment advisors & funds; Enforcement which investigates corporate misdeeds and other forms of misconduct in connection with investments/securities markets;and Economic & Risk Analysis which provides economic research support throughout all divisions.

By implementing these various measures across different areas like disclosure requirements or insider trading prohibitions while ensuring compliance with relevant laws/regulations ,the SEC helps protect investors while facilitating capital formation – both key elements needed to maintain healthy financial markets.