Securities Exchange Commission Compliance

Securities Exchange Commission (SEC) compliance refers to the adherence to rules and regulations set by the SEC, which is a U.S. government agency. It oversees the securities industry to protect investors and ensure fair markets. Companies that sell stocks or other securities must provide accurate information about their financial health and business practices. Compliance involves regular reporting, disclosure of material events, and maintaining ethical practices in trading and operations. Ultimately, SEC compliance helps maintain investor confidence and market integrity by ensuring transparency and accountability in financial transactions.