U.S. Securities and Exchange Commission Analytical Essay by Nicky

U.S. Securities and Exchange Commission
Looks at the history, function and regulations of the U.S. Securities and Exchange Commission (SEC).
# 146993 | 1,455 words | 4 sources | APA | 2011 | US

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This paper explains that the Securities and Exchange Commission (SEC), an autonomous government body, overlooks the U.S. securities market and the modalities of corporate takeovers and manages the organization of financial laws to provide transparency thus safeguarding investors. Next, the author relates laws regulating the securities market, which are the Sarbanes-Oxley Act of 2002 , the U.S. Patriot Act of 2001, the Energy Policy Act - PUHCA and The Public Utility Holding Company Act of 1935, acts related to staffing and budget acts. The paper concludes that regulations, such as mandatory disclosure, do have problems often relating to the consumers' emotional reaction to these assumed safeguards.

Table of Contents:
What is the US Securities and Exchange Commission (SEC) and What They Do?
Regulatory Functions
How Government Regulates the Securities and Exchange Commission (SEC)?
How They Affect the Public and the Economy and What Devastating Effects They May Cause or Have Caused?

From the Paper:

"The US Patriot Act of 2001: This Act is the most important regulatory arsenal in the combat against money laundering and terrorism financing. The Act has major effect on the market intermediaries as also participants. The SEC in concert with other federal regulators and the self-regulatory organizations is working to complete execution of the Act. A lot of important projects in the area of making of rules are going on and regulators as well as financial institution are engaged to conform to the broad range of rules adopted since the last two years."

Sample of Sources Used:

  • N. A. (n. d.) "United States Securities and Exchange Commission Strategic Plan 2004-09: Government Actions" Retrieved 30 March, 2009 from http://www.sec.gov/about/secstratplan0409.pdf
  • Parisi, Francesco; Smith, Vernon L. (2005) "The law and the economics of irrational behavior" Stanford University Press.
  • Securities and Exchange Commission, United States Securities and Exchange Commission, Office of Public Affairs -- United States. (1986) "What Every Investor Should Know: A Handbook from the U.S. Securities and Exchange Commission" The Supt. of Docs., U.S. G.P.O.
  • Teslik, Lee Hudson. (2008) "The U.S. Financial Regulatory System" Retrieved 30 March, 2009 from http://www.cfr.org/publication/17417/us_financial_regulatory_system.html

Cite this Analytical Essay:

APA Format

U.S. Securities and Exchange Commission (2011, February 01) Retrieved June 07, 2023, from https://www.academon.com/analytical-essay/us-securities-and-exchange-commission-146993/

MLA Format

"U.S. Securities and Exchange Commission" 01 February 2011. Web. 07 June. 2023. <https://www.academon.com/analytical-essay/us-securities-and-exchange-commission-146993/>