What are three primary roles of the Securities and Exchange Commission (SEC)?

Please answer the following discussion questions: Fin 370 (University of Phoniex).

1. SEC’s role is to maintain fair and ordered functioning of the financial markets. This includes enforcing federal laws on securities that protect investors and prevent fraud.

2. Registration and oversight of companies that offer securities to the public: The SEC encourages disclosures in all financial reports filed by companies publicly traded, helps with issues related to corporate governance, tracks insider trading, and lays down rules on how securities offerings should be structured.

3. Enforcement of civil penalties: the SEC has the power to bring civil lawsuits against individuals or organizations suspected of violating securities law. They can also take administrative action or file civil suits, and seek sanctions including fines, refunds for illegal profits, or even bans from certain positions within companies or organizations.