Securities and Exchange Commission

E948

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

All labels observed (14)

How this entity was disambiguated

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 United States Department of Justice
surface form: Department of Justice of the United States

Financial Industry Regulatory Authority
state securities regulators
country United States of America
surface form: 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
U.S. Securities Act of 1933
surface form: Securities Act of 1933

U.S. Securities Exchange Act of 1934
surface form: Securities Exchange Act of 1934

U.S. federal securities laws
foundedByStatute U.S. Securities Exchange Act of 1934
surface form: Securities Exchange Act of 1934
governingBody five-member Commission
hasMotto protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation
hasPart Securities and Exchange Commission self-linksurface differs
surface form: Division of Corporation Finance

Division of Economic and Risk Analysis
Division of Enforcement
Division of Investment Management
Securities and Exchange Commission self-linksurface differs
surface form: Division of Trading and Markets

Securities and Exchange Commission self-linksurface differs
surface form: Office of Compliance Inspections and Examinations
hasPrimaryMission facilitating capital formation
investor protection
maintaining fair and efficient markets
headquartersLocation Washington, D.C.
inception 1934
jurisdiction United States government
surface form: federal government of the United States
legalForm independent regulatory commission
oversightBy United States Congress
parentOrganization United States government
surface form: 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 Securities and Exchange Commission self-linksurface differs
surface form: SEC
website https://www.sec.gov

How these facts were elicited

Referenced by (298)

Full triples — surface form annotated when it differs from this entity's canonical label.

Title 17 of the Code of Federal Regulations administeredBy Securities and Exchange Commission
EXPE regulatoryAuthority Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Fraud Section collaboratesWith Securities and Exchange Commission
Form D regulatesBy Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Form D filedWith Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
United States federal securities markets regulatingAuthority Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
DBX regulatoryAuthority Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Division of Enforcement of the SEC partOf Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Division of Enforcement of the SEC parentAgency Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Division of Enforcement of the SEC reportsTo Securities and Exchange Commission
this entity surface form: the Commissioners of the U.S. Securities and Exchange Commission
Corporate & Investment Bank regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Reg A regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Jumpstart Our Business Startups Act affectsAgency Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Regulation Crowdfunding administeredBy Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Securities Act Amendments of 1964 enforcedBy Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Bear Stearns regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
BRK.A subjectToRegulationBy Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Class A regulator Securities and Exchange Commission
subject surface form: Berkshire Hathaway Class A
this entity surface form: U.S. Securities and Exchange Commission
United States technology sector regulator Securities and Exchange Commission
Archipelago Exchange regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
BRK.B regulatorOfExchange Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Gramm-Leach-Bliley Act of 1999 administeredBy Securities and Exchange Commission
National Securities Markets Improvement Act of 1996 allocatesAuthorityTo Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
National Securities Markets Improvement Act of 1996 relatedTo Securities and Exchange Commission
Gordon Gekko enemyOf Securities and Exchange Commission
this entity surface form: SEC
Commerce and Trade isEnforcedBy Securities and Exchange Commission
NYSE:FRT regulator Securities and Exchange Commission
subject surface form: Federal Realty Investment Trust
this entity surface form: U.S. Securities and Exchange Commission
FOSL regulatoryJurisdiction Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
PRU regulatorJurisdiction Securities and Exchange Commission
subject surface form: Prudential Financial, Inc.
this entity surface form: U.S. Securities and Exchange Commission
TD Ameritrade regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Robinhood Markets regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
LMT regulatoryJurisdiction Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
LMT associatedWithCountryRegulator Securities and Exchange Commission
this entity surface form: SEC
E-Trade regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
NASDAQ:FOX regulatoryAuthority Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
NWS regulatoryJurisdiction Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
ARCX hasRegulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
NYSE:T regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
KO regulatoryAuthority Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
HD subjectToRegulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
D. E. Shaw & Co. regulatesUnder Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Morgan Stanley regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
American Stock Exchange regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
ICE Clear Credit regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
ICE regulatorJurisdiction Securities and Exchange Commission
subject surface form: Intercontinental Exchange, Inc.
this entity surface form: U.S. Securities and Exchange Commission
NYSE electronic trading platform regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Cboe BZX Exchange regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
IEX regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
IEX grantedExchangeStatusBy Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission
Regulation NMS regulator Securities and Exchange Commission
this entity surface form: U.S. Securities and Exchange Commission