The SEC's principal objectives are:
(1) to ensure that the securities markets operate in a fair and orderly manner;
(2) that securities industry professionals deal fairly with their customers; and
(3) that corporations make public all material information about themselves so that investors can make informed investment decisions.
The SEC pursues these objectives by: mandating that companies disclose material business and financial information; overseeing the operations of the Security Regulatory Organizations (SROs); adopting rules with wh