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Investor Protection Resources

U.S. Securities and Exchange Commission (SEC)

U.S. Securities and Exchange Commission (SEC) is the primary overseer and regulator of the U.S. securities markets. Its mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. Here the SEC is concerned primarily with promoting the disclosure of important market-related information, maintaining fair dealing, and protecting against fraud.

U.S. Securities and Exchange Commission (SEC) is the primary overseer and regulator of the U.S. securities markets. Its mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. Here the SEC is concerned primarily with promoting the disclosure of important market-related information, maintaining fair dealing, and protecting against fraud.