SEC Investment Education and Assistance

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SEC- Investment Education and Assistance

• Chris Kiewert
• Kelly Garges

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Who is the SEC?

• The U.S. Securities and Exchange Commission.
• Not the Southeastern Confrence!!!!!

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What Do they Do?

• The Primary mission of the (SEC) is to protect
  investors and maintain the integrity of the
  securities markets.

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SEC

• More and more 1st time investors are turning to
  the markets to help secure their futures, pay for
  homes, and send their Children to college.
• These Goals have been more compelling than ever!

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Requirements of the SEC

• The SEC requires public companies to disclose
  meaningful financial information, Which provides
  a common pool of knowledge for all investors to
  use and judge for themselves.

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SEC

• The SEC also oversees key participants in the
  securities world.
• Stock exchanges
• Broker-dealers
• Investment Advisors
• Mutual funds
• Public Utility holding Companies

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Quick Fact

• Each year The SEC brings between 400 and 500
  civil enforcement actions against individuals and
  companies that break the securities laws
• Accounting Fraud, insider trading,false or
  misleading information about securities and
  companies

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Office of Investor Education and Assistance

• They serve individual investors, ensuring that
  their problems and concerns are known throughout
  the SEC and considered when the agency takes
  action
• They specialize in answering questions, analyzing
  complaints, and seeking informal resolutions.

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Continued

• In addition to handling complaints, The organize
  Investors town meetings in cities throughout the
  country to help people to save and invest wisely.
• Prepare for retirement and achieve financial
  security.

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Related Websites

• Office of the Securities and Exchange Commission
• http//www.sec.or.th/
• U.S. Securities and Exchange Commission
• http//www.sec.gov/

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More Related Websites

• News Digest Index
• http//www.sec.gov/newsindex.html
• Securities and Exchange Commission
• http//www.law.uc.edu/CCL/34Sct/sec4.html
• SEC, an Encarta Encyclopedia Article
• http//encarta.msn.com/find/consice.
• Asp?ti