The Role of the SEC in Enforcing InfoSec Legislation

What is the SEC? Founded 85 years ago at the height of the Great Depression, the Securities and Exchange Commission (SEC) has a clear mission: to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. Put simply, the SEC aims to protect US investors by maintaining a fair market. The SEC doesn’t work directly with investors, however. Instead, it regulates stock exchanges and entities that trade and sell securities, such as investment advisors, asset managers, and brokers. The SEC also regulates investment companies dealing with ETFs and mutual funds…