Nasdaq

Established in 1934, U.S. Securities and Exchange Commission protects investors and facilitates capital formation. It also works to maintain fair and efficient markets. The commission interprets federal securities laws, as well as issues new rules and amends existing regulations. It oversees the inspection of securities firms, brokers, investment advisers and rating agencies. The commission coordinates U.S. securities regulation with the federal, state and foreign authorities. U.S. Securities and Exchange Commission also oversees private regulatory organizations in the securities, accounting and auditing fields. Its division of corporation oversees corporate disclosure of important information to the investing public, as well as reviews documents that publicly-held companies are required to file with the commission. The commission s division of investment management provides investor protection and promotes capital formation through oversight and regulation of the investment management industry. Headquartered in Washington, D.C., U.S. Securities and Exchange Commission maintains an office in San Francisco.

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