Securities and Exchange Commission (SEC)
United StatesThe SEC is the primary regulator and supervisor of the U.S. securities markets. Our mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. We work closely with many other institutions that have an interest in the integrity of the U.S. securities markets, including other federal departments and agencies, self-regulatory organizations, and state securities regulators.
Geographical Jurisdiction
United StatesThe U.S. federal securities laws require all offers and sales of securities to be registered with us or qualify for an exemption from registration. Companies that offer and sell securities to the public assume initial and ongoing reporting obligations that involve the disclosure of material business, financial, and other information.
In addition, market participants may engage in activities that require registration of transactions and persons or entities involved in those transactions. We regulate and supervise key securities market participants, including securities brokers and dealers, securities exchanges, investment advisers, investment funds, clearing agencies, transfer agents, and credit rating agencies.
Even if no registration is required, activities involving securities may still be subject to our regulation and oversight.
For additional information, please refer to our website: https://www.sec.gov/.
GFIN Member: check all that apply. Please do not add any additional categories, except where indicated under “Other”.
- Guidance on the application of laws and rules to innovative business models
- Waivers or exemptions, for any entity meeting certain criteria
- Engagement with firms on regtech and suptech solutions
- Engagement with innovators and/or other third parties (e.g. academics, consultants and other organisations)
- Facilitating hackathons, TechSprints or similar events
Focus Area
N/A
