Securities and Exchange Commission
Securities and Exchange Commission
The
Securities and Exchange Commission (SEC) is the U.S. Government commission
charged with the responsibility of ensuring compliance with its securities act. Through the use
of its own financial professionals, which includes qualified stockbrokers, the SEC monitors
trading and the markets through the computerized networks for strange and/or unusual
trading activity, for example. These professionals would then further investigate to uncover
illegal activity such as insider trading (trading with prior or nonpublic information). To
eliminate conflict of interests, SEC financial professionals do not engage in professional
trading activity themselves, but work for and are compensated exclusively by the U.S.
Government.
