在美国,国会授予SEC行使权力对上市公司进行监管,以保证上市公司不存在财务欺诈、提供误导性的信息以及其他违反各项证券交易法的行为。中国公司或者说所有外国公司意欲申请美国上市,必须和当地公司一样在证券交易委员会(简称SEC)注册登记。按此来看,SEC可以被称作是美国的“证监会”。“美国证监会”是怎样监管上市企业的呢?SEC与美国证券法律跃迁SEC的成立与上世纪20年代不无 In the United States, Congress granted the SEC the power to supervise listed companies to ensure that listed companies do not have financial fraud, providing misleading information and other violations of various securities transaction laws. Chinese companies or all foreign companies wanting to apply for listing in the United States must register with the Securities and Exchange Commission (SEC) just as local companies do. From this point of view, SEC can be called the United States “SFC ”. How does the “SEC” regulate the listed companies? SEC and US Securities Law Transition The establishment of the SEC and the 1920s No