From the course: Understanding Capital Markets (2019)
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Regulation and the capital markets
From the course: Understanding Capital Markets (2019)
Regulation and the capital markets
- [Instructor] In the US, securities markets are largely governed by various government bodies. You want to be familiar with these groups since their actions drive the way companies and investors behave. Now the most important regulator to be familiar with is the Securities and Exchange Commission or the SEC. We are here at the SEC's website. Basically, what the SEC does is it oversees and enforces all of the rules and laws related to the stock market and securities trading. So this means that the SEC has power over both investors and the companies that sell investors stock. In particular, the SEC has five critical areas that they focus on. First of all, they inform and protect investors. So the SEC puts out announcements whenever they think that there's a problem or some kind of risk that investors need to be aware of. Not necessarily a risk like the stock market is going to go down, but more like a risk that a particular…
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