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美国证券交易委员会(the U.S.Securities and Exchange Commission,简称SEC)是隶属于美国联邦政府的一个独立的金融管理机构,1934年根据证券交易法令而成立。SEC的职能旨在监督一系列法规的执行,以维护证券发行者、投资者和交易者的正当权益;防止证券活动中的过度冒险、投机和欺诈活动,维护稳定的物价水平,配合联邦储备委员会以及其他金融监管机构,形成一个明确、灵活、有效的金融体系。
The U.S. Securities and Exchange Commission (SEC) is an independent financial management institution affiliated with the federal government of the United States. It was established in 1934 under the Securities and Exchange Act. The SEC’s role is to oversee the enforcement of a range of statutes to safeguard the legitimate rights and interests of issuers, investors and traders; to guard against excessive risk taking, speculation and fraud in securities activities and to maintain a stable price level, in conjunction with the Federal Reserve’s As well as other financial regulators, to form a clear, flexible and effective financial system.