#What is SEC? The United States Securities and Exchange Commission (the SEC), one of the most prominent federal regulatory agencies, states that its mission"is to protect investors, maintain fair, orderly, and efficient markets,and facilitate capital formation." SEC Mission:The principal way that the SEC fulfills its mission is bycreating and enforcing regulations that set the standardsfor the public disclosure of financial information by public companies. Its main areas of enforcement activity are: *.Insider trading *.Accounting fraud *.False or misleading investment information SEC Reach:The oversight exercised by the SEC extends to allcategories of participants in the securities markets, primarily: *.Securities exchanges *.Securities brokers and dealers *.Investment advisors *.Mutual funds SEC Locations:The SEC employs approximately 3,500 staff in Washington, DC and in 11 regional offices: *.New York *.Boston *.Philadelphia *.Miami *.Atlanta *.Chicago *.Denver *.Fort Worth *.Salt Lake City *.Los Angeles *.San Francisco