SEC Rules & Code

SEC Rules & Code

In order to effectively and efficiently carry out the objectives of securities regulation as embedded in the Investments and Securities Act (The Act), the Securities and Exchange Commission (The Commission), has prescribed these Rules and Regulations. These Rules and Regulations provide participants (regulated persons) in the capital market with more precise notice of what is expected of them, what conduct will be sanctioned and also promotes fairness and equality of treatment among similarly situated persons.