PDF What's In Your Retirement Portfolio: The SEC and Your ...

What's In Your Retirement Portfolio: The SEC and Your Retirement Options

Los Angeles Regional Office United States Securities and Exchange

Commission

May 2018

SEC Disclaimer

The Securities and Exchange Commission, as a matter of policy, disclaims responsibility for any private publication or statement by any of its employees. The views expressed in this presentation do not necessarily reflect the views of the SEC, its Commissioners, or other members of the SEC's staff.

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Presentation Overview

? What is the SEC? ? Who Else is Out There? ? What Will it Cost? ? What Products Are Out There? ? How Can I Help Myself? ? How Can the SEC Help?

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What is the SEC?

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Creation of the SEC

? Congress created the SEC in the Securities Exchange Act of 1934 ("Exchange Act")

? Created to restore investor confidence in the capital markets following the crash of 1929 and the Great Depression

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