The most important governance regulatory body in the United States is the Securities and Exchange Commission (SEC).
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The most important governance regulatory body in the United States is the Securities and Exchange Commission (SEC). Congress created the SEC through the Securities and Exchange Act of 1934.
- Discuss the reasons why the SEC was created by Congress and explain the major roles of the SEC.
- Discuss SEC enforcement actions and their inherent problems.
- After the enactment of the Securities and Exchange Act of 1934, the two most important pieces of federal legislation related to U.S. Corporate governance are Sarbanes-Oxley Act of 2002 and Dodd-Frank Wall Street Reform Act of 2010. Explain the main provisions of these two federal legislations.
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