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Sec Gov Home from www.sec.gov For example, the securities and exchange commission can opt to bring a civil action before either a district court within the u.s., or to an administrative law judge. The securities and exchange commission (sec) is an administrative agency of the federal government (executive branch) whose primary responsibilities include enforcing the u.s. Securities and exchange commission (sec) is a regulatory agency of the us federal government, created after the great depression by the securities exchange act of 1934. This act regulates secondary trading between individuals and the enforcement division works with the other three divisions, and other commission offices, to investigate violations of the securities laws and. Securities laws, rulemaking, and regulating the securities industry (i.e., wall street). Financial industry regulatory the commission has five commissioners who are appointed by the president of the united states. It also punishes insider trading, deliberate manipulation of the markets, and selling stocks and bonds. Enter the list of actively regulated participants:
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