Appendix FSelected SEC Actions


The Securities and Exchange Commission (SEC) came into being with the 1933 Securities Act and the Securities Exchange Act of 1934. The intent of Congress was to protect the investor from unscrupulous individuals and firms. The first law focuses on distribution of securities and the second on trading of securities after distribution. The objective of the SEC is to ensure that an investor has sufficient information to buy, hold, or sell publically traded securities. Therefore, it monitors and regulates the registration of publicly traded securities and the disclosure of company financial information and securities ...

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