United States commission on markets and securities, an independent institution from the US government responsible for regulating the functioning of US securities markets to protect investors and maintain market integrity. Its activities include requiring companies with shares listed on these markets to publicly and completely disclose their financial information, ensuring market transparency. In addition, it is responsible for overseeing all participants in the exchanges: brokers, investment advisors, investment or pension fund managers, and company shareholders. It has the authority to impose fines and open legal proceedings against participants who commit an infraction.
« Back to Glossary IndexSecurities and Exchange Commission (SEC)
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