Regulating Securities Markets
Objective 17-7 Explain how securities markets are regulated.
The U.S. government, along with various state agencies, plays a key role in monitoring and regulating the securities industry. Businesses cannot exist in the United States without the public’s trust and the public’s willingness to participate in business ownership and everyday transactions with companies. Regulation of the U.S. securities markets plays a vital role in maintaining the public’s trust in fair and open business ownership.
The Securities and Exchange Commission
The U.S. SEC is the regulation and enforcement agency that oversees the markets’ activities, including the ways securities are issued. The SEC was created in 1934 to prevent the kinds ...
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