General Info

The U.S. Securities and Exchange Commission protects investors, maintains efficient markets and facilitates capital formation. The commission oversees various participants, including securities exchanges, brokers, dealers and investment advisors, as well as mutual funds. It operates a finance division that provides interpretive assistance for companies about the rules and forms of the U.S. Securities and Exchange Commission. It proposes new and revised rules for the commission. The U.S. Securities and Exchange Commission additionally maintains an office of human resources that manages the commission s human capital by administering programs, establishing policies and ensuring compliance with federal regulations. In addition, the commission maintains a legislative and intergovernmental affairs office that develops legislative strategies, coordinates the testimonies of the commission s officials, and responds to requests for documents and technical assistance. - It also maintains an office of risk assessment that focuses on issues related to corporate disclosure, market operation, sales practices and new product innovation across the corporate and financial sectors. The U.S. Securities and Exchange Commission maintains a location in Philadelphia.