SEC Flagged Companies

What is The SEC?

The U.S. Securities and Exchange Commission (SEC) is an autonomous federal government regulatory body tasked with promoting capital formation, safeguarding investors, and ensuring the securities markets operate fairly and orderly. As the first federal regulator of the securities markets, Congress established it in 1934. The SEC oversees corporate takeover activities in the US, encourages complete public disclosure, and defends investors from deceptive and manipulative market practices. Additionally, it authorizes registration statements for underwriting businesses’ bookrunners.

Securities offered for sale in interstate commerce, via mail, or online generally require SEC registration prior to being made available for purchase by investors. To conduct business, financial services companies—including asset managers, broker-dealers, advisory firms, and their professional representatives—must also register with the SEC. As an illustration, they would be in charge of approving any official bitcoin exchange.