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The Securities & Exchange Commission, of the United States of America Responsibility of enforcing Federal Securities Laws & Regulating the Securities Market

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BY:Ashish Agarwal (16047)Sagar Yadav (16056)BFIA - 2What is SEC?A brief history of SECMain Laws & ActsDebt MarketForeign Debt MarketMajor Rules relating to Foreign DebtConclusionThe Securities & Exchange Commission, of theUnited States of AmericaResponsibility of enforcing Federal SecuritiesLaws & Regulating the Securities MarketThe main regulator of USAs Stock & otherexchangesFive main divisions.Exchanges and OTC markets are effected witha national public interest which makes itnecessary to provide regulationsTo keep frauds and other scams fromhappening and protect the investor from themTo form rules and regulations to better managethe financial markets.Was created by the Securities & Exchange Act,1934, during the great depression after thecrash of 1929.Prior to SEC, Blue Sky Laws were enactedamong state governmentsAlso called the exchange act or the 1934 actSecurities Act of 1933Securities Exchange Act of 1934Trust Indenture Act of 1939Investment Company Act of 1940Investment Advisers Act of 1940Sarbanes-Oxley Act of 2002The Debt market is:DecentralizedOTC (though large institutions do have their bindslisted on exchanges)Deals in debt securities (mainly bonds)Total volume of about $82.2 Trillion,worldwide, as of 20093 Basic type of International Bond Issues:

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