A majority of securities must be registered with the SEC, and the statements and prospects provided in the registration are made public shortly thereafter.
Use the right-hand menu to navigate.) SEC laws and regulations (This article is part of our Security & Compliance Guide. However, the purpose of the SEC is to protect investors from fraud, to facilitate the formation of capital that is required to support economic growth and to ensure that the securities markets remain efficient, fair and orderly. It can be daunting to comply with all of the banned activities, financial statement requirements, mandated actions, new regulations and rules, procedural and technical filing conditions, published guidance and unofficial interpretations. SEC regulations are very demanding, strict and thorough. The government agency carefully monitors the actions of these professionals at the civil, criminal, federal, regulatory, self-regulatory and state levels. Those who must comply with these standards work or operate in the securities industry, including brokers, investment advisers and companies, municipal advisers, mutual funds, and the members or participants of Systems Compliance and Integrity entities who receive information about certain events. SEC compliance is adherence to the rules and regulations that the Securities and Exchange Commission makes and enforces.