Division of Examinations: Difference between revisions
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imported>Doug Williamson (Create page - source - Division of Examinations - https://www.sec.gov/exams/about) |
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Latest revision as of 19:18, 4 December 2021
US - Securities and Exchange Commission (SEC).
The Securities and Exchange Commission (SEC) is an independent agency which has primary responsibility for enforcing securities laws in the United States.
The Division of Examinations supports this work primarily by carrying out on-site inspections.
See also
- Agency
- Bad actor
- Depository Trust Company
- Financial Industry Regulatory Authority
- Public Company Accounting Oversight Board
- Regulation D
- Regulation S-K
- Rule 144A
- Securities and Exchange Commission (SEC)
