FIN 370 Week 1 DQ 2

Basic definition: What are three primary roles of the U.S. Securities and Exchange Commission (SEC)?
Go to the UOP Library. Find a peer-reviewed article that answers the following questions. Identify and analyze the author’s point of view. Do you agree with the author? Why or why not? Be sure to cite your reference.
How does the Sarbanes-Oxley Act of 2002 augment the SEC’s role in managing financial governance? Did businesses become more ethical after Sarbanes-Oxley was passed? Provide specific examples to support your answer.


The three primary roles of the SEC are to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation (, 2013).
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