The Securities Exchange Commission

Paper Summary:

This paper begins by defining and introducing the SEC as a body which was created to protect investors after the shattering effects of the 1929 stock market crash. It looks at the history of the Commission from its establishment, until today. It then discusses the manner in which the SEC is organized and structured and the purposes of what the SEC regulates.

From the Paper:

"The Securities Exchange Commission (SEC) was created to protect investors after the shattering effects of the 1929 stock market crash. The SEC has grown stronger since its creation, and protects investors today, adding stability to investors' confidence and the markets as a whole. According to the SEC, its primary mission is to "protect investors and maintain the integrity of the securities markets (SEC, 2003)." In today's marketplace, investors can be financial experts, janitors, stay-at-home mothers, or just about anyone who wants to invest in the market. Today's investment opportunities are vast and complex. However, just as easily as investors can make money from securities, they can lose it, as well. As a result, many investors have learned that it is important to research and analyze the market before investing.
This is where the SEC comes into play. The laws and rules that apply to the U.S. securities industry are based on a simple concept: "all investors, whether large institutions or private individuals, should have access to certain basic facts about an investment prior to buying it (SEC, 2003)." "

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