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The Securities and Exchange Commission


The Securities and Exchange Commission (SEC) was established in 1934 following the advent of extended federal checks on investment markets. Since then the focus of the SEC has been to increase investor confidence by making information on companies and securities publicly accessible. The SEC monitors the securities market and investigates unusual market activity. The SEC was initially designed to enforce the Securities Act of 1933 and the Securities Exchange Act of 1934. Both acts were built on the following principles:

  • Companiesoffering investment opportunities must be open and forthcoming about thestatus of their business and the stocks they are offering. This way theinvestor has the opportunity to judge the information and assess thepotential investment risks versus gains.
  • Personswho sell or exchange securities must perform their business honestly andwith fairness. Because a broker-investor relationship involves trust onthe part of the investor, the broker (or dealer, or company, as the casemay be) must provide reliable information to his customer.

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