Securities and Exchange Commission

• Pages: 496-501

SECURITIES AND EXCHANGE COMMISSION

100 F Street NE., Washington, DC 20549

Phone, 202-551-7500. Internet, www.sec.gov.

CHAIRMAN Mary L. Schapiro

Commissioners Luis A. Aguilar, Kathleen L. Casey, Troy A. Paredes, Elisse B. Walter

Senior Advisers to the Chairman Stephen DeVine, Kayla J. Gillan, Didem A. Nisanci

Director, Office of Legislative and William Schulz

Intergovernmental Affairs

Director, Office of Public Affairs John Nester

Director, Office of Investor Education and Kristi J. Kaepplein

Advocacy

Secretary Elizabeth M. Murphy

Executive Director Diego T. Ruiz

Associate Executive Director, Office of Human Jeffrey Risinger

Resources

Associate Executive Director, Office of Sharon Sheehan

Administrative Services

Associate Executive Director, Office of Kristine Chadwick

Financial Management

General Counsel David Becker

Director, Division of Corporation Finance Meredith Cross

Director, Division of Enforcement Robert Khuzami

Director, Division of Investment Management Andrew J. Donohue

Director, Division of Trading and Markets Erik R. Sirri

Director, Office of Compliance Inspections and Lori A. Richards

Examinations

Chief Accountant James L. Kroeker

Chief Administrative Law Judge Brenda P. Murray

Chief Economist James Overdahl

Chief Information Officer, Office of Information Charles Boucher

Technology

Director, Office of International Affairs Ethiopis Tafara

Director, Office of Equal Employment Opportunity Alta Rodriguez

Director, Office of Risk Assessment Jonathan S. Sokobin

Inspector General H. David Kotz

Director, Office of Interactive Disclosure David M. Blaszkowsky

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The Securities and Exchange Commission administers Federal securities laws that seek to provide protection for investors; to ensure that securities markets are fair and honest; and, when necessary, to provide the means to enforce securities laws through sanctions.

The Securities and Exchange Commission (SEC) was created under authority of the Securities Exchange Act of 1934 (15 U.S.C. 78a-78jj) and was organized on July 2, 1934. The Commission serves as adviser to United States district courts in connection with reorganization proceedings for debtor corporations in which there is a substantial public interest. The Commission also has certain responsibilities under section 15 of the Bretton Woods Agreements Act of 1945 (22 U.S.C. 286k-1) and section

851(e) of the Internal Revenue Code of 1954 (26 U.S.C. 851(e)).

The Commission is vested with quasi-judicial functions. Persons aggrieved by its decisions in the exercise of those functions have a right of review by the United States courts of appeals.

Activities

Full and Fair Disclosure The Securities Act of 1933 (15 U.S.C. 77a) requires issuers of securities and their controlling persons making public offerings of securities in interstate commerce or through the mail to file with the Commission...