Purpose: Learn about the Securities and Exchange Commission (SEC). Address: www.sec.gov/index.html…

Purpose: Learn about the Securities and Exchange Commission (SEC).

Address: www.sec.gov/index.html

Step

From the SEC homepage, choose About the SEC.

Instructions

Answer the following questions:

(a) How many enforcement actions does the SEC take each year against securities law violators? What are typical infractions?

(b) After the Great Depression, Congress passed the Securities Acts of 1933 and 1934 to improve investor confidence in the markets. On which two commonsense notions are these laws based?

(c) Who was the president of the United States at the time of the creation of the SEC? Who was the first SEC chairperson?

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