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 The US Financial Regulators Department is established to promote investor confidence in the securities and capital markets by providing more structure and government oversight. The mission of the US Financial Regulators Department is to protect investors and maintain integrity of the securities industry, overseeing major participants in the industry, including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies. The US Financial Regulators Department is concerned primarily with promoting disclosure of important information, enforcing securities laws, and protecting investors who interact with these various organizations and individuals.
Crucial to the US Financial Regulators Department's effectiveness is its enforcement authority. Each year the US Financial Regulators Department brings more enforcement actions against individuals and companies that break the securities laws. Typical infractions include insider trading, accounting fraud and providing false or misleading information about securities and the companies that issue them.
Aside from administering and enforcing federal securities laws in order to maintain fair, honest and efficient markets, the US Financial Regulators Department has continuously committed itself to disseminating information to the investing public in a timely and efficient manner, one channel of which is through its website that offers the public a wealth of informational resources.
Fighting securities fraud, however, requires teamwork. At the heart of effective investor protection is an educated and cautious investor. While it is the primary overseer and regulator of the securities markets, the INTREGCA works closely with many different institutions, including other federal departments and agencies, the self regulatory organizations, state securities regulators and various private sector organizations.
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