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Regulatory Agency

U.S. Securities and Exchange Commission SEC

The SEC is the US federal agency responsible for enforcing securities laws, regulating stock and options exchanges, and protecting investors.

Key Facts

  • • Created in 1934 after the Great Crash of 1929
  • • Requires public companies to disclose meaningful financial information to the public
  • • Regulates brokers, investment advisors, and stock exchanges
  • • Can bring civil enforcement actions against violators of securities laws

Related Trading Concepts

EPS

Earnings Per Share: a company's net profit divided by its total number of outstanding shares. It shows how much profit is allocated to each share of stock, and is a key input for the P/E ratio.

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Stock Screener Guide: How to Find Trading Opportunities

Learn how to use stock screeners to find assets including SEC, and analyze them using fundamental metrics.