As one of five important divisions of the SEC, the Division of Investment Management is a crucial and essential aspect of the commission’s success. As Paul Greene and SEC experts know, the Division of Investment Management carries out specific responsibilities pertaining to the agency’s mission, which is protect investors while ensuring efficient function of the financial marketplace.
Paul Greene and SEC experts emphasize the need for the Division of Investment Management, who’s primary responsibility is to help the commission protect investors and to promote capital formation by providing skilled regulation and oversight of the country’s multi-trillion dollar investment management industry. Paul Greene and SEC experts agree that this particular division carries out their objectives with timeliness and efficiency, allowing the commission to continue being a positive force in the world of investor protection and market saliency.
As the primary regulator of the investment management industry, the Division of Investment Management oversees the part of the financial markets that include mutual funds and the fund managers who provide advice on them. There are a large amount of investors involved in this field, making it important for this division to stay on top of the market and continue regular oversight and regulation of the field.
Paul Greene and SEC experts provide some of the division’s additional responsibilities, including the review of investment advisor and investment company findings, being responsive to no-action requests, as well as exemptive relief requests, and helping the SEC regarding enforcement of investment advisors and companies. Paul Greene and SEC experts know the Division of Investment Management is critical to SEC function.
The SEC Division of Trading and Markets, as Paul Greene and SEC experts understand, is responsible for assisting the Securities and Exchange Commission in the execution of the agency’s responsibility for ensuring the orderly, fair and efficient operation of current day securities markets. The division’s personnel are responsible for the oversight of the major players in the securities market, which includes self-regulatory organizations (SROs) securities firms, securities Exchange and more.
Paul Greene and SEC experts understand that the Division of Trading and Markets provide invaluable oversight of such self-regulatory organizations as the Municipal Securities Rulemaking Board, or MSRB, and the Financial Industry Regulatory Authority, or FInRA. The SROs also under the division’s oversight include transfer agents, clearing agencies that assist with the facilitation of trade settlement, credit rating agencies and securities information processors.
Paul Greene and SEC experts also know that this particular division oversees the Securities Investor Protector Corporation. Additional division responsibilities, according to Paul Greene and SEC experts, include the review of new rule proposal and amendments to existing rules by SROs, effectively carrying out the SEC’s financial integrity program for broker-dealers, general surveillance of the market and assisting the SEC in rule establishment and interpretation.
Paul Greene and SEC experts believe the Division of Trading and Markets fills an important role in the organization. They know that along with the other four SEC divisions, this particular division is essential to the continued regulatory success of the SEC, and will continue to be for many years to come.
The effective dissemination of public information is one of the primary functions of the Securities and Exchange Commission, which, through the agency website, works to get info to the public as quickly as possible. Paul Greene and SEC Experts understand that the agency has created a prioritized list of the way they release this information on the site, ensuring that investors have the information they need to make the best possible decisions.
Before the arrival of the Internet, as Paul Greene and SEC experts realize, the SEC had developed and instituted EDGAR, or the Electronic Data Gathering, Analysis and Retrieval system, in order to best disseminate information to the public. With the advent of the web, as well as the SEC website, the EDGAR system is now available at the investor’s fingertips, making useful and timely information ready for instant retrieval by anyone.
Information that is both time sensitive and urgent, according to Paul Greene and SEC experts, is the first priority of the agency, which is generally posted to the website within minutes of receipt. The second informational priority of the agency involves info that is time sensitive only. This info is usually posted on the site within an hour after the agency receives it. Information that is heavily requested by members of the public, as Paul Greene and SEC experts understand, is typically made available on the site the same day of receipt, while all other information deemed useful by the agency is posted within a 24 hour time period.
The SEC, or Securities and Exchange Commission, is composed of five commissioners, each of which have staggered terms and are appointed by the United States President. As Paul Greene and SEC experts know, each commissioner is charged with carrying out the responsibilities of their office to the fullest of their ability, and to always follow current, existing securities laws.
Paul Greene and SEC experts provide a list of the current commissioners, as well as the commission’s current Chairman, below.
Mary Jo White is the current commissioner of the SEC. The other four current commissioners of the SEC include Luis A. Aguilar, Daniel M. Gallagher, Kara M. Stein and Michael S. Piwowar. Each of the agency’s current commissioners, as Paul Greene and SEC experts are aware, serve the agency with distinction, and all have the honor of providing an invaluable service to the American public, and to the national economy.
Paul Greene and SEC Experts also understand that the commissioners have the responsibility of designing the agency’s annual budget, and are charged with creating, designing and implementing a strategic plan for the agency, determining in which direction the agency is headed and where it intends to go in the future. The foundation for the commission lies in both the Securities Act of 1933 and the Securities Exchange Act of 1934. Paul Greene and SEC experts also know that agency guidelines and rules for operation have been established and amended over the years, the result of such legislation as the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisors Act of 1940 and more.
American investors often face many challenges as they prepare to make significant financial investments, making it important for them to have as much information and data available as possible. Paul Greene and SEC experts are aware of this need for information, as well as the helpful informational resources and tools available through the SEC website and the Office of Investor Education and Advocacy.
Paul Greene and SEC experts know how valuable an investor’s time and money are, and that they want to ensure the best possible success and reward for their upcoming investment so as to best protect their financial future. As strong advocates of information availability, Paul Greene and SEC experts recommend that all investors, regardless of how much money they are looking to invest or where they plan on investing, check out the SEC website, which offers an abundance of easily accessible tools and resources that can help them better understand what steps they should take before investing, as well as helpful ways to prevent themselves from becoming the unsuspecting victims of investment fraud.
Paul Greene and SEC experts can easily access the Office of Investor Education and Advocacy by visiting Investor.gov. This website gives the investor access to information on advisors and brokers, helpful tips on making their next investment, and ways an investor can claim or recover funds lost through fraud.
Paul Greene and SEC experts want you to be able to make the wisest and best informed investment possible, which is why they advocate for the availability of information.
Paul Greene and SEC experts would like to introduce the public to the primary purpose of the SEC, which is to provide protection to the investor while working towards a stable, fair, efficient and effective financial marketplace. They understand how important it is to recognize exactly what it is that the SEC does, as well as how essential it is to have the agency in place and actively pursuing the public’s best interests.
Paul Greene and SEC experts want everyone to know that the agency is divided into five respective divisions, each with the purpose of implementing the agency’s mission through specifically designated responsibilities. They would also like to convey that the agency is composed of 23 offices, located in both Washington DC and in areas across the country. The agency, as they know, is comprised of over 3500 loyal and dedicated public servants, each sworn to uphold current securities laws and to enforce them to the best of their ability.
As Paul Greene and SEC experts understand, the agency is a highly-beneficial regulatory agency with the mission of making the securities markets as safe and secure for the American investor as possible. Each SEC division is anointed with certain responsibilities that carry out this mission, and keep the investor informed on the basic facts of publicly traded companies, as well as the status of Exchange, brokerages, advisors, independent brokers and private industry regulators. Paul Greene and SEC experts are believers in the idea that agencies like the SEC are not only necessary, but also an essential part of a healthy and functioning national economy, one that needs to stay competitive in the global marketplace.
Unlike the banking community, where deposits are guaranteed by the federal government, the securities and Exchange market fluctuates, and investments have the potential to lose value. As both Paul Greene and SEC experts recommend, research can be an investor’s most valuable ally and weapon during the investment process, allowing the investor to minimize risk and maximize reward as much as possible.
Paul Greene and SEC professionals suggest that every first-time and seasoned investor make the effort to research the company before making any sort of financial commitment. Protecting yourself, as Paul Greene and SEC professionals recommend, requires diligence and a respect for an unpredictable marketplace, putting the onus in the hands of the investor seeking to get the most bang for his/her buck.
Paul Greene and SEC Experts know that the financial marketplace can offer an abundance of investor opportunity, and that there is much potential for wealth and success in the securities market. They also know, however, that every investment carries with it a certain amount of risk, and that all investors need to make themselves aware of what that risk is before making an important long-term investment decision.
Weighing the potential risk with potential reward is a necessary task before investing your money. Though everybody is seeking a secure and stable financial future, as Paul Greene and SEC experts know, they will be unable to achieve their ideal without a careful and more analytical approach to investing. Research and diligence are often the core of investment success, and are integral to your financial future.