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Securities and Exchange Commission

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The Securities and Exchange Commission, abbreviated to SEC, is an independent agency of the United States government which is responsible for enforcing federal laws regulating securities and stock markets. They can bring civil actions against a company or individual failing to comply with such laws, and criminal charges can be brought if the offenses are serious enough.

The sale of stock options in a company by its executives must be reported to the SEC. "Buying a collar" is one way for unscrupulous executives to avoid this requirement, as Mattawin Corporation executive Jack Crawley did in 2002. (CI: Tuxedo Hill)

The SEC conducted many investigations of Archie Beuliss of Beuliss Securities. He once said he had been investigated so much that he swears to tell the truth before he orders dinner. (CI: In Treatment)

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