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The Securities and Exchange Commission was created by the Securities Exchange Act of 1934 in the aftermath of the Great Depression that began in 1929. SEC is the federal agency regulating securities sales, purchases and the offer of notes, most stocks and bonds, evidence of indebtedness and certificates of need. The SEC is the watchdog for the investment industry, being the federal regulator of stock brokerage firms and other investment companies. The Securities and Exchange Commission is the federal regulatory authority that oversees every aspect of raising capital from investors both public and private and regulates public traded companies. SEC contains several divisions known as the Office of  General Counsel, Office of Chief Accountant, Office of Compliance, Inspections and Examinations, Office of International Affairs, Office of Investor Education and the Office of Advocacy and Economic Analysis.



SEC Completes Inaugural Teacher Training Workshop ..Full text of this featured news article.
Teachers from schools across the country just completed an inaugural Securities and Exchange Commission training course that will help them teach their students about the importance of the financial markets. To learn more, use the link.
SEC Charges Corporate Insider Brothers With Fraud ..Learn more about this news item.
The Securities and Exchange Commission today charged brothers Samuel E. Wyly and Charles J. Wyly, Jr. of Dallas with violating federal securities laws governing ownership and trading of securities by corporate insiders. The Wyly brothers reaped more than $550 million in undisclosed gains while sitting on corporate boards by trading stock in those public companies through hidden entities located in foreign jurisdictions to conceal their ownership and trading of those securities. Read the whole article for full details
SEC Charges Citigroup and Two Executives for Misleading Investors About Exposure to Subprime Mortgage Assets ..Click here to read more of this article.
The Securities and Exchange Commission today charged Citigroup Inc. with misleading investors about the company's exposure to subprime mortgage-related assets. The SEC also charged one current and one former executive for their roles in causing Citigroup to make the misleading statements in an SEC filing. Find out more about this topic. Go to the link.
SEC Chairman Schapiro Announces Open Process for Regulatory Reform Rulemaking ..View entire document here.
Securities and Exchange Commission Chairman Mary L. Schapiro today announced that the agency is making it easier for the public to provide comments as the agency sets out to make rules required under the Dodd-Frank Wall Street Reform and Consumer Protection Act. For additional details, please follow the link contained in the title.
SEC Publishes Public Request for Comment to Inform Study of Obligations of Broker-Dealers and Investment Advisers ..Read full article by clicking here.
The Securities and Exchange Commission today published a request for public comment to inform its study of the obligations and standards of care of broker-dealers and investment advisers providing personalized investment advice about securities to retail investors. Find out more about this topic. Go to the link.
SEC Charges General Electric and Two Subsidiaries with FCPA Violations ..View complete feature using this link.
The Securities and Exchange Commission today charged General Electric Company with violations of the Foreign Corrupt Practices Act (FCPA) for its involvement in a $3.6 million kickback scheme with Iraqi government agencies to win contracts to supply medical equipment and water purification equipment. Get more information on this topic by clicking on the link.
SEC Announces $106 Million Fair Fund Distribution to Harmed Investors in HealthSouth Financial Fraud ..View complete feature using this link.
The Securities and Exchange Commission today announced a Fair Fund distribution of more than $106 million to investors harmed in a financial fraud at HealthSouth Corporation. Use the link in the article title to view the entire news article.
SEC Charges Dell and Senior Executives with Disclosure and Accounting Fraud ..Additional information on this subject.
The Securities and Exchange Commission today charged Dell Inc. with failing to disclose material information to investors and using fraudulent accounting to make it falsely appear that the company was consistently meeting Wall Street earnings targets and reducing its operating expenses. Read more about this news.
SEC Charges Two New York-Based Accountants With Conducting Ponzi Scheme Against Clients ..Find out more on this topic. Click here.
The Securities and Exchange Commission today charged two certified public accountants with fraud and is seeking an emergency court order to freeze their assets after they sold phony securities to investors and then stole the money for personal use. Get more information on this topic by clicking on the link.
SEC Releases Report of the Life Settlements Task Force ..Full text of this featured news article.
The Securities and Exchange Commission today released a staff report recommending that life settlements be clearly defined as securities so that the investors in these transactions are protected under the federal securities laws. If you find this of interest, please read the full feature.