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How does the Securities and Exchange Commission (SEC) help protect my investments?
The SEC regulates the nation’s securities markets. This federal agency was created during the Depression after investors large and small had lost everything in the Great Crash. To guard against that happening again, the agency's goal is to act as top cop for America’s securities markets.The agency helps protect you by requiring full disclosure of material information that would affect an investment decision -- in the company’s initial public offering document, its annual 10-K, 10-Q, K-S, and in its proxy statement. The agency’s theory is that you can make your own decisions if you have all the facts.Return to Questions
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