Securities and Exchange Commission

E948

government agency independent federal agency

The Securities and Exchange Commission is the U.S. federal agency responsible for regulating securities markets, enforcing securities laws, and protecting investors.

Aliases (11)

Statements (52)

Predicate	Object
instanceOf	government agency → independent federal agency →
appliesToJurisdiction	U.S. securities markets →
appointedBy	President of the United States →
canImpose	civil penalties → injunctive relief →
canSeek	disgorgement of ill-gotten gains →
chairpersonAppointedBy	President of the United States →
commissionersConfirmedBy	United States Senate →
conducts	investigations of securities law violations →
continent	North America →
cooperatesWith	Department of Justice of the United States → Financial Industry Regulatory Authority → state securities regulators →
country	United States →
createdAfterEvent	Wall Street Crash of 1929 →
enforces	Dodd–Frank Wall Street Reform and Consumer Protection Act → Investment Advisers Act of 1940 → Investment Company Act of 1940 → Sarbanes–Oxley Act of 2002 → Securities Act of 1933 → Securities Exchange Act of 1934 → U.S. federal securities laws →
foundedByStatute	Securities Exchange Act of 1934 →
governingBody	five-member Commission →
hasMotto	protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation →
hasPart	Division of Corporation Finance → Division of Economic and Risk Analysis → Division of Enforcement → Division of Investment Management → Division of Trading and Markets → Office of Compliance Inspections and Examinations →
hasPrimaryMission	facilitating capital formation → investor protection → maintaining fair and efficient markets →
headquartersLocation	Washington, D.C. →
inception	1934 →
jurisdiction	federal government of the United States →
legalForm	independent regulatory commission →
oversightBy	United States Congress →
parentOrganization	United States federal government →
publishes	rules and regulations for securities markets →
regulates	broker-dealers → investment advisers → mutual funds → publicly traded companies → securities disclosures → securities markets → securities offerings → stock exchanges →
shortName	SEC →
website	https://www.sec.gov →

Referenced by (142)

Subject (surface form when different)	Predicate
Archipelago Exchange ("U.S. Securities and Exchange Commission") → Bear Stearns ("U.S. Securities and Exchange Commission") → Berkshire Hathaway Class A ("U.S. Securities and Exchange Commission") → Chicago Board Options Exchange ("U.S. Securities and Exchange Commission") → Chicago Stock Exchange ("U.S. Securities and Exchange Commission") → Corporate & Investment Bank ("U.S. Securities and Exchange Commission") → E-Trade ("U.S. Securities and Exchange Commission") → F ("U.S. Securities and Exchange Commission") → Federal Realty Investment Trust ("U.S. Securities and Exchange Commission") → Invesco QQQ Trust ("U.S. Securities and Exchange Commission") → JPMorgan Chase ("U.S. Securities and Exchange Commission") → Morgan Stanley ("U.S. Securities and Exchange Commission") → NASDAQ ("U.S. Securities and Exchange Commission") → NYSE American ("U.S. Securities and Exchange Commission") → NYSE Arca ("U.S. Securities and Exchange Commission") → NYSE National ("U.S. Securities and Exchange Commission") → NYSE:T ("U.S. Securities and Exchange Commission") → New York Stock Exchange ("U.S. Securities and Exchange Commission") → Reg A ("U.S. Securities and Exchange Commission") → Regulation A ("U.S. Securities and Exchange Commission") → Robinhood Markets ("U.S. Securities and Exchange Commission") → Sarbanes–Oxley Act of 2002 → Series 7 exam ("U.S. Securities and Exchange Commission") → Series 7 exam ("SEC") → TD Ameritrade ("U.S. Securities and Exchange Commission") → United States technology sector →	regulator
Division of Corporation Finance ("U.S. Securities and Exchange Commission") → Division of Economic and Risk Analysis ("U.S. Securities and Exchange Commission") → Division of Enforcement ("U.S. Securities and Exchange Commission") → Division of Enforcement of the SEC ("U.S. Securities and Exchange Commission") → Division of Investment Management ("U.S. Securities and Exchange Commission") → Office of Administration ("U.S. Securities and Exchange Commission") → Office of Asset Management ("U.S. Securities and Exchange Commission") → Office of Data Science ("U.S. Securities and Exchange Commission") → Office of Economic Research ("U.S. Securities and Exchange Commission") → Office of Financial Intermediaries ("U.S. Securities and Exchange Commission") → Office of Markets ("U.S. Securities and Exchange Commission") → Office of Structured Finance ("U.S. Securities and Exchange Commission") →	partOf
'33 Act ("U.S. Securities and Exchange Commission") → Gramm-Leach-Bliley Act of 1999 → Investment Advisers Act of 1940 ("U.S. Securities and Exchange Commission") → Investment Company Act of 1940 ("U.S. Securities and Exchange Commission") → Regulation Crowdfunding ("U.S. Securities and Exchange Commission") → Regulation D ("U.S. Securities and Exchange Commission") → Regulation S ("U.S. Securities and Exchange Commission") → Rule 144A ("U.S. Securities and Exchange Commission") → Title 15 of the United States Code → Title 17 of the Code of Federal Regulations → U.S. Securities Act of 1933 ("U.S. Securities and Exchange Commission") →	administeredBy
DERA ("U.S. Securities and Exchange Commission") → Division of Corporation Finance ("U.S. Securities and Exchange Commission") → Division of Economic and Risk Analysis ("U.S. Securities and Exchange Commission") → Division of Enforcement ("U.S. Securities and Exchange Commission") → Office of Compliance Inspections and Examinations ("U.S. Securities and Exchange Commission") → Office of Compliance Inspections and Examinations ("SEC") → Office of Markets ("U.S. Securities and Exchange Commission") → Public Company Accounting Oversight Board ("U.S. Securities and Exchange Commission") →	parentOrganization
DAL ("U.S. Securities and Exchange Commission") → DBX ("U.S. Securities and Exchange Commission") → EXPE ("U.S. Securities and Exchange Commission") → JBLU ("U.S. Securities and Exchange Commission") → KO ("U.S. Securities and Exchange Commission") → NASDAQ:FOX ("U.S. Securities and Exchange Commission") → UNP ("U.S. Securities and Exchange Commission") → VZ ("U.S. Securities and Exchange Commission") →	regulatoryAuthority
BA ("U.S. Securities and Exchange Commission") → CSCO ("U.S. Securities and Exchange Commission") → FOSL ("U.S. Securities and Exchange Commission") → LMT ("U.S. Securities and Exchange Commission") → NWS ("U.S. Securities and Exchange Commission") → RYAAY ("U.S. Securities and Exchange Commission") → TXN ("U.S. SEC") →	regulatoryJurisdiction
Division of Enforcement of the SEC ("U.S. Securities and Exchange Commission") → Division of Investment Management ("U.S. Securities and Exchange Commission") → Office of Administration ("U.S. Securities and Exchange Commission") → Office of Asset Management ("U.S. Securities and Exchange Commission") → Office of Financial Intermediaries ("U.S. Securities and Exchange Commission") →	parentAgency
Fraud Section → National Association of Securities Dealers ("U.S. Securities and Exchange Commission") → Office of Domestic Finance → Office of Financial Markets →	collaboratesWith
New Deal → Securities and Exchange Commission ("Division of Corporation Finance") → Securities and Exchange Commission ("Division of Trading and Markets") → Securities and Exchange Commission ("Office of Compliance Inspections and Examinations") →	hasPart
Office of Asset Management ("U.S. Securities and Exchange Commission") → William O. Douglas → William O. Douglas →	employer
Public Law 73-291 ("U.S. Securities and Exchange Commission") → U.S. Securities Exchange Act of 1934 ("U.S. Securities and Exchange Commission") →	createdAgency
Rule 10b-5 ("U.S. Securities and Exchange Commission") → Securities Act Amendments of 1964 ("U.S. Securities and Exchange Commission") →	enforcedBy
Office of Administration ("U.S. Securities and Exchange Commission") → Office of Asset Management ("U.S. Securities and Exchange Commission") →	governingBody
Dodd–Frank Wall Street Reform and Consumer Protection Act → Public Law 73-291 ("U.S. Securities and Exchange Commission") →	grantsAuthorityTo
Public Utility Holding Company Act of 1935 → Wheeler-Rayburn Act →	grantsPowerTo
Financial Industry Regulatory Authority ("U.S. Securities and Exchange Commission") → Public Company Accounting Oversight Board ("U.S. Securities and Exchange Commission") →	overseenBy
LUV ("U.S. Securities and Exchange Commission") → Prudential Financial, Inc. ("U.S. Securities and Exchange Commission") →	regulatorJurisdiction
BRK.A ("U.S. Securities and Exchange Commission") → FDX ("U.S. Securities and Exchange Commission") →	subjectToRegulationBy
Office of Financial Institutions → Under Secretary for Domestic Finance →	worksWith
Rule 144A ("U.S. Securities and Exchange Commission") →	adoptedBy
Jumpstart Our Business Startups Act ("U.S. Securities and Exchange Commission") →	affectsAgency
Office of Administration ("U.S. Securities and Exchange Commission") →	affiliatedWith
National Securities Markets Improvement Act of 1996 ("U.S. Securities and Exchange Commission") →	allocatesAuthorityTo
LMT ("SEC") →	associatedWithCountryRegulator
U.S. Congress ("U.S. Securities and Exchange Commission") →	canAmendStatuteGoverning
U.S. Congress ("U.S. Securities and Exchange Commission") →	canMandateRulemakingBy
U.S. Congress ("U.S. Securities and Exchange Commission") →	canRequestReportsFrom
U.S. Congress ("U.S. Securities and Exchange Commission (Senate confirmation of Commissioners)") →	confirmsOfficialsFor
U.S. Congress ("U.S. Securities and Exchange Commission (through appropriations)") →	controlsBudgetFor
U.S. Commodity Futures Trading Commission ("U.S. Securities and Exchange Commission") →	cooperatesWith
U.S. Congress ("U.S. Securities and Exchange Commission") →	createsByStatute
U.S. Congress ("U.S. Securities and Exchange Commission") →	delegatesAuthorityTo
Lockheed bribery scandals ("U.S. Securities and Exchange Commission investigations") →	discoveredBy
'34 Act →	empowers
Gordon Gekko ("SEC") →	enemyOf
Public Law 73-291 ("U.S. Securities and Exchange Commission") →	established
'34 Act →	establishedAgency
Form D ("U.S. Securities and Exchange Commission") →	filedWith
ARCX ("U.S. Securities and Exchange Commission") →	hasRegulator
US GAAP →	influencedBy
Enron accounting scandal ("U.S. Securities and Exchange Commission") →	involves
Commerce and Trade →	isEnforcedBy
U.S. Congress ("U.S. Securities and Exchange Commission") →	overseesAgencyIndirectly
U.S. Congress ("U.S. Securities and Exchange Commission") →	overseesThroughCommittee
Form D ("U.S. Securities and Exchange Commission") →	regulatesBy
D. E. Shaw & Co. ("U.S. Securities and Exchange Commission") →	regulatesUnder
United States federal securities markets ("U.S. Securities and Exchange Commission") →	regulatingAuthority
BRK.B ("U.S. Securities and Exchange Commission") →	regulatorOfExchange
DIS ("U.S. Securities and Exchange Commission") →	regulatoryFilingsAuthority
National Securities Markets Improvement Act of 1996 →	relatedTo
Division of Enforcement of the SEC ("the Commissioners of the U.S. Securities and Exchange Commission") →	reportsTo
Securities and Exchange Commission ("SEC") →	shortName
HD ("U.S. Securities and Exchange Commission") →	subjectToRegulator
Financial Industry Regulatory Authority ("U.S. Securities and Exchange Commission") →	supervisingAuthority
Office of Data Science ("SEC commissioners") →	supportsStakeholder