Discuss about the primary mission of a regulatory agency

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Reference no: EM133313097

Assignment:

I want you to take a look at the SEC website, keeping in mind that it is an administrative agency created by Congress. I will be sending you a few questions about the SEC, and the 2 primary securities laws, but I want you to do something else here.

The SEC website is at sec.gov. Go to the website and look around at it. Keep in mind the things you have learned about the primary mission of a regulatory agency. Then, go to the Enforcement tab, and then select litigation releases.

I want you to read through 1 or 2 of them, and then summarize the story you read into paragraphs. List the primary players, where they are from, what the SEC said they did, and any other relevant facts. Make a note of what the SEC is asking in the action they are taking against the person.

Then, look at the actual legal action filing the SEC has done. See if you can glean any other additional facts and add them into your story.

End your assignment by telling the class whether you think based on what you have read the SEC action is fair or unfair and why. Tell me how you think the person being charged reached the point where they may have done what the SEC says they did, and whether you think they would say they are not guilty of anything. Give me your opinion about whether they thought when they started their plan that they would be committing an illegal act.

Then, tell me if seeing this makes you nervous about becoming a CEO, CFO or stock promoter, and why or why not.

Reference no: EM133313097

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