The two main frameworks for purchasing and trading securities are issuer and trading transactions. Issuer transactions refer to how companies increase capital. These include the selling of securities by the investor to the issuer. In contrast, trading means the buying and selling of issued securities among investors. Investors trade in securities issued by the stock market, either a stock exchange or ‘store’. The Stock Exchange gives places, laws, and methods for purchasing and trading securities. The government thoroughly regulates it. Generally, the organization needs to record the securities on the designated exchange to sell and buy securities on a stock exchange. Before coming into effect, all the rules relating to the stock exchange must be approved by the SEC. Transactions that do not occur on the stock exchange will occur on the remaining stock markets known as over-the-counter markets. Only SEC-registered dealers and brokers can participate in the securities business on the stock exchange and over-the-counter markets.
Working of SEC
The chief function of the SEC is to supervise individuals and organizations in the securities market. This also includes the securities firms, investment advisors, stock exchanges, dealers, and investment funds. The SEC encourages the divulgence of any market-related information through established securities rules and regulations, fair trade, and protection against fraud. Investors have to examine the registration declarations, regular financial reporting, and other forms of securities. They can do this by way of an electronic data collection, analysis, and search database called EDGAR. The SEC is led by five members who the president has chosen. Each member’s term lasts five years, but some hold an additional 18 months until a shift member is found. To encourage partialism, it is required by the law that not more than three out of five members come from the same party. Their aims are the interpretation of securities laws and the implementation of enforcement actions, the issuance of new rules, the provision of oversight by securities institutions, and the coordination of regulations between various levels. The five types and functions are as follows:
Corporate Finance Division: It makes sure that the investors are given all the necessary data to make an informed investments decision.
Enforcement Division: This division has the authority to enforce the regulations of the SEC. This is done by examining the facts and executing the civil actions and regulatory actions.
Investment Management Division: The work of this division is to regulate the investment companies.
Economic and Risk Analysis Division: This division merges economics and data analysis within the purpose of the SEC.
Trading and Markets Division: This division is responsible for establishing and maintaining standards for just, structured and well-organized markets.
SEC is only permitted to conduct civil actions before governmental courts or regulatory judges. The unlawful events come under the authority of the law enforcement agency of the Ministry of Justice. It works as the primary level publicity for activities required by self-regulatory bodies in the securities industry. In all the offices of the SEC, the whistleblower’s office comes out as one of the most powerful instruments for the enforcement of securities law. It was formed due to the Pentagon’s Frank Wall Street Reform and Consumer Protection Act of 2010. This process rewards all those qualified people who share such data that would lead to the success of law enforcement operations involving financial sanctions of more than $1 million. Individuals can get anywhere from 10% to 30% of the total income of the sanctions.
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