SEC License
The SEC (Securities and Exchange Commission), established in 1934, is an independent U.S. government agency responsible for regulating the securities market and protecting investors’ rights.
Organizational Structure
The SEC is composed of five commissioners (including one chairman), appointed by the U.S. President and confirmed by the Senate. It is mainly divided into five departments:
- Corporate Finance Department
- Oversee the financial information disclosed by the company
- Trading and Markets Department
- Regulate market participants and trading rules
- Investment Management Department
- Regulate mutual funds, ETFs, and investment advisors
- Enforcement Department
- Investigate and prosecute violations of securities laws
- Economic and Risk Analysis Department
- Provide data analysis support and assess market risks
The Importance of the SEC
The SEC is one of the most important financial regulatory bodies in the world. Its rules and standards have significant influence on the securities regulatory frameworks of other countries. In activities within the U.S. securities market, any actions involving stocks, bonds, derivatives, or other financial instruments generally must comply with SEC regulations.
Query Steps
Click the link to directly access the U.S. Securities and Exchange Commission website
- Visit the official website of the U.S. Securities and Exchange Commission (SEC): https://www.sec.gov/
- Click “Search Edgar“
- Enter “Aifeex” in the search bar and click the “Search” button below
- In Form & File, click D (Notice of sales of unregistered securities)
- The search results will display detailed information about the SEC regulatory license. Click “Open Document” for more details.
SEC License Query Tutorial Video