Fin 370( university of phoniex) discussion question(s) #1 please
1. Maintaining fair and orderly functioning of the securities markets: The SEC is responsible for maintaining the integrity of financial markets by enforcing federal securities laws that protect investors from fraud and other deceptive practices.
2. Registering and overseeing companies who offer their securities to public investors: The SEC promotes full disclosure in financial reports that are filed by publicly traded companies, assists with corporate governance issues, monitors insider trading activities, and sets certain rules for how new securities offerings can be structured.
3. Enforcing civil penalties against those violating securities laws: The SEC can bring administrative actions or civil suits against organizations or persons suspected of breaking the law, as well as seek monetary sanctions such as fines, disgorgement of profits made through illegal activity, bans on individuals serving in certain capacities within a company or organization.