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17339639
Regulatory Entities, Agencies and Market Participants
Description
Notes on Chapter 1 of ExamFX for SIE prep
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sie prep
sie
Mind Map by
Kris Heller
, updated more than 1 year ago
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Created by
Kris Heller
over 5 years ago
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Resource summary
Regulatory Entities, Agencies and Market Participants
SEC: Securities and Exchange Commission
Created in 1934
1934 Securities Exchange Act "People Act"
Created SEC to establish fair & orderly market
Gave authority to SRO's to enforce standards and requirements related to security trading & brokerage business
Governs indiv & firms doing business in Financial Services
Regulates exchanges and broker/dealers
Oversees Capital Markets
Responsibilities
Interpret & enforce Fed Securities Laws
Issue new rules & amend existing ones
Oversee inspection of :
Firms
Brokers
Investment advisors
Auditing Fields
Coordinate US Securities regulation with:
Feds
States
Foreign Authorities
Violations result in:
revokation of registration
Referred to Judicial System
5 Board Members
Known as Commission
Appointed by President with Senate approval
Have 5 year Terms
Staggered so 1 ends every year
only 3 can belong to same political party
Mission
Protect Investors
Maintain fair, orderly & efficient markets
Facilitate Capital
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