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UNITED STATES SECURITIES and EXCHANGE MerrillDirect  Form

UNITED STATES SECURITIES and EXCHANGE MerrillDirect Form

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the US Securities and Exchange Commission SEC is an independent agency of the United States federal government the SEC holds primary responsibility for enforcing the federal securities laws proposing securities rules and regulating the securities industry the nation's stock and options exchanges and other activities and organizations including the electronic securities markets in the United States in addition to the Securities Exchange Act of 1934 which created it the SEC enforces the Securities Act of 1933 the trust indenture Act of 1939 the Investment Company Act of 1940 the investment advisors Act of 1940 the sarbanes-oxley Act of 2002 and other statutes the SEC was created by section 4 of the Securities Exchange Act of 1934 now codified as 15 USC Section 78 D and commonly referred to as the Exchange Act or the 1934 Act topic overview the SEC has a three-part mission to protect investors maintain fair orderly and efficient markets and facilitate capital formation to achieve

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