As a financial advisor that works in fiduciary governance, James Lukezic frequently finds himself working with, and under the guidelines of government agencies such as the Securities and Exchange Commission, or the SEC. According to the SEC’s official website, the SEC has a mission to “protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.”
Many want to invest in markets in order to have a secure financial future, to pay for homes, send kids to college, and more. However, investing can be a complex field, but fruitful for those who learn it well. Investing can also be risky because securities like bonds and stocks are not guaranteed to keep the same or grow in value. That is why the best way for investors to see a net return is to do frequent research.
While investing can be risky, it is subject to regulation. In fact, this is the purpose of the Securities and Exchange Commission. Through the SEC, laws and regulations are established to prevent underhanded inside trading, stock manipulation, and other common problems that plague the investment marketplace.
The SEC protects the investor by requiring public companies to disclose all meaningful financial and product/service information to the public. The SEC requires this transparency so that the marketplace is not manipulated or altered for financial gain by inside investors. The SEC works diligently to keep the investor informed with regular, timely, and accurate information.
James Lukezic works with the SEC closely, relying on many of their resources and policies to help make informed financial decisions for the employees he advises.
Source(s): https://www.sec.gov/about/whatwedo.shtml
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