5. Explain The concept of securities and the role of the Securities and Exchange

Question

5. Explain The concept of securities and the role of the Securities and Exchange Commission (SEC).
6. How has the Sarbanes-Oxley Act affected the current business landscape? 100+ words 5. Explain The concept of securities and the role of the Securities and Exchange Commission (SEC).
6. How has the Sarbanes-Oxley Act affected the current business landscape? 100+ words 5. Explain The concept of securities and the role of the Securities and Exchange Commission (SEC).
6. How has the Sarbanes-Oxley Act affected the current business landscape? 100+ words

Explanation / Answer

5. In simple words, the U.S. Securities and Exchange Commission (SEC) is an independent, federal government agency established in 1934 as the first-ever federal regulator of the securities market in the US. SEC mainly protects the investors’ interest by regulating the securities market in the US and ensuring its proper functioning. Thus SEC facilitates the capital formation process and at the same time protects the interest of the investors. SEC mandates companies to follow public disclosure norms to protect investors from any fraudulent practice or scam. It also closely examines all corporate takeover actions taking place in the country.

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