THE SEC: AN EXAMINATION OF ITS STRUCTURE, POWERS AND PROCEDURES

Abstract

The author examines the historical and political background to the creation of the Securities and Exchange Commission, identifying the use made by its architects of earlier English company legislation to define its regulatory remit; before making a detailed evaluation of its structure and powers. The paper continues by setting out the major procedural functions of the Commission before ending with a comparative analysis of its regulatory functions and effectiveness.

Citation

BOSWORTH‐DAVIES, R. (1993), "THE SEC: AN EXAMINATION OF ITS STRUCTURE, POWERS AND PROCEDURES", Journal of Financial Regulation and Compliance, Vol. 2 No. 1, pp. 31-41. https://doi.org/10.1108/eb024791