The U.S. Securities and Exchange Commission

Who We Are And What We Do...

The SEC is an independent, regulatory agency responsible for administering the federal securities laws. These laws ensure that securities markets operate fairly and investors have timely access to all important information relevant to publicly traded securities. The SEC also regulates firms that purchase or sell securities, people who provide investment advice, and mutual funds.

Our Leadership

Five Commissioners sit on the SEC. Each is appointed by the President and confirmed by the Senate for a five-year term. The President designates one as Chairman.

Our Staff and Structure

The SEC employs lawyers, accountants, financial examiners, investigators, economists and other professionals. The SEC is headquartered in Washington, D.C. and operates regional or district offices in eleven cities. There are six principal divisions within the SEC.

Division of Corporation Finance

Corporation Finance ensures that public companies (companies registered with the SEC) meet the disclosure requirements of the federal securities laws. SEC staff review registration statements for corporate securities, documents for tender offers, proxy solicitations, mergers, and acquisitions. The information in these documents helps investors evaluate the risks of investing in a company.

Division of Investment Management

Investment Management is responsible for ensuring that mutual funds comply with the laws and regulations governing securities registration, financial responsibility, sales practices, and advertising. The Division reviews registration statements, proxy statements, periodic reports required by the securities acts, and drafts regulations governing the operation of mutual funds and investment advisers.

Division of Market Regulation

Market Regulation registers and regulates brokerage firms, and sets financial responsibility standards for the industry. It oversees the securities markets, securities self-regulatory organizations, and other market participants including transfer agents and clearing organizations. The Division also regulates trading and sales practices, and policies affecting operation and surveillance of the securities markets.

Division of Enforcement

The Division of Enforcement investigates possible violations of the federal securities laws including internet fraud, insider trading, financial fraud, offering fraud and other schemes. When an investigation indicates a violation of the law, Enforcement staff will institute appropriate civil or administrative actions.

Office of Compliance Inspections and Examinations

This office inspects the operations of brokers, dealers, self-regulatory organizations, investment companies and advisers, clearing agencies, and transfer agents. These exams protect investors by determining whether an entity is complying with the federal securities laws.

Office of the General Counsel

The Office of the General Counsel represents the SEC in litigation before Federal Courts of Appeal. Staff also provide independent advice to the Commissioners on adjudicatory, legislative, enforcement and rulemaking issues.

Our Regional and District Office Operations

The SEC operates offices in New York City, Boston, Philadelphia, Miami, Atlanta, Chicago, Denver, Fort Worth, Salt Lake City, Los Angeles, and San Francisco.

These offices conduct examinations of broker-dealers, investment companies, investment advisers, transfer agents and the self regulatory organizations. They also investigate and prosecute violations of the federal securities laws.

Reach your potential. Become a part of the SEC. The SEC is seeking attorneys, accountants and examiners - intelligent, team-players with initiative, poise, and integrity.

Our professional staff assume a high degree of responsibility and have the potential to influence significant public policies related to the securities markets. We have both entry level positions and positions for people with experience in the field.

Submit resumes to; U.S. Securities & Exchange Commission, OAPM Recruiting, 6432 General Green Way, Alexandria, VA 22312 An Equal Opportunity Employer

The U.S. Securities and Exchange Commission is an Equal Opportunity Employer.