{"id":375718,"date":"2024-08-08T21:29:47","date_gmt":"2024-08-08T14:29:47","guid":{"rendered":"https:\/\/hoanghamobile.com\/tin-tuc\/?p=375718"},"modified":"2024-08-08T21:29:47","modified_gmt":"2024-08-08T14:29:47","slug":"sec-la-gi","status":"publish","type":"post","link":"https:\/\/hoanghamobile.com\/tin-tuc\/sec-la-gi\/","title":{"rendered":"SEC l\u00e0 g\u00ec? C\u1ea5u tr\u00fac v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a SEC trong th\u1ecb tr\u01b0\u1eddng t\u00e0i ch\u00ednh"},"content":{"rendered":"

\u0110\u1ed1i v\u1edbi nh\u1eefng ai \u0111ang tham gia v\u00e0o th\u1ecb tr\u01b0\u1eddng \u0111\u1ea7u t\u01b0 th\u00ec ch\u1eafc ch\u1eafn c\u1ea7n ph\u1ea3i bi\u1ebft \u0111\u1ebfn SEC l\u00e0 g\u00ec<\/strong>. \u0110\u00e2y kh\u00f4ng ch\u1ec9 l\u00e0 t\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n gi\u00e1m s\u00e1t t\u00e0i ch\u00ednh m\u00e0 c\u00f2n \u0111\u1ea3m b\u1ea3o v\u1ec1 t\u00ednh minh b\u1ea1ch v\u00e0 c\u00f4ng b\u1eb1ng cho th\u1ecb tr\u01b0\u1eddng \u0111\u1ea7u t\u01b0 to\u00e0n c\u1ea7u, \u0111\u1eb7c bi\u1ec7t l\u00e0 th\u1ecb tr\u01b0\u1eddng ti\u1ec1n \u0111i\u1ec7n t\u1eed. V\u00e0 trong b\u00e0i vi\u1ebft n\u00e0y, Ho\u00e0ng H\u00e0 Mobile s\u1ebd gi\u00fap b\u1ea1n hi\u1ec3u r\u00f5 h\u01a1n v\u1ec1 c\u1ea5u tr\u00fac v\u00e0 c\u00e1ch th\u1ee9c ho\u1ea1t \u0111\u1ed9ng c\u1ee7a SEC nh\u01b0 th\u1ebf n\u00e0o nh\u00e9.<\/span><\/p>\n

SEC l\u00e0 g\u00ec?<\/b><\/h2>\n

\u1ee6y ban Ch\u1ee9ng kho\u00e1n v\u00e0 Giao d\u1ecbch Hoa K\u1ef3 (SEC – Securities and Exchange Commission) l\u00e0 c\u01a1 quan qu\u1ea3n l\u00fd t\u00e0i ch\u00ednh h\u00e0ng \u0111\u1ea7u c\u1ee7a M\u1ef9. T\u1ed5 ch\u1ee9c n\u00e0y ch\u1ecbu tr\u00e1ch nhi\u1ec7m duy tr\u00ec s\u1ef1 c\u00f4ng b\u1eb1ng, minh b\u1ea1ch v\u00e0 hi\u1ec7u qu\u1ea3 trong c\u00e1c th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n n\u00f3i ri\u00eang v\u00e0 th\u1ecb tr\u01b0\u1eddng t\u00e0i ch\u00ednh n\u00f3i chung. \u0110\u01b0\u1ee3c th\u00e0nh l\u1eadp v\u00e0o n\u0103m 1934, SEC ra \u0111\u1eddi trong b\u1ed1i c\u1ea3nh \u0110\u1ea1i kh\u1ee7ng ho\u1ea3ng kinh t\u1ebf nh\u1eb1m \u0111\u1ed1i ph\u00f3 v\u1edbi c\u00e1c v\u1ea5n \u0111\u1ec1 v\u1ec1 gian l\u1eadn t\u00e0i ch\u00ednh v\u00e0 b\u1ea3o v\u1ec7 quy\u1ec1n l\u1ee3i c\u1ee7a c\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0.<\/span><\/p>\n

\"sec-la-gi-1\"<\/p>\n

V\u1edbi vai tr\u00f2 trung t\u00e2m trong vi\u1ec7c qu\u1ea3n l\u00fd v\u00e0 gi\u00e1m s\u00e1t c\u00e1c ho\u1ea1t \u0111\u1ed9ng tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, SEC \u0111\u00f3ng g\u00f3p quan tr\u1ecdng v\u00e0o s\u1ef1 \u1ed5n \u0111\u1ecbnh v\u00e0 ph\u00e1t tri\u1ec3n c\u1ee7a h\u1ec7 th\u1ed1ng t\u00e0i ch\u00ednh M\u1ef9. C\u01a1 quan n\u00e0y kh\u00f4ng ch\u1ec9 b\u1ea3o v\u1ec7 quy\u1ec1n l\u1ee3i c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 m\u00e0 c\u00f2n g\u00f3p ph\u1ea7n t\u1ea1o d\u1ef1ng m\u1ed9t m\u00f4i tr\u01b0\u1eddng \u0111\u1ea7u t\u01b0 \u0111\u00e1ng tin c\u1eady v\u00e0 minh b\u1ea1ch. Nh\u1edd nh\u1eefng n\u1ed7 l\u1ef1c c\u1ee7a SEC, th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n Hoa K\u1ef3 c\u00f3 th\u1ec3 duy tr\u00ec s\u1ef1 ph\u00e1t tri\u1ec3n b\u1ec1n v\u1eefng v\u00e0 l\u00e0 n\u1ec1n t\u1ea3ng v\u1eefng ch\u1eafc cho n\u1ec1n kinh t\u1ebf qu\u1ed1c gia v\u00e0 to\u00e0n c\u1ea7u. Ch\u00ednh v\u00ec th\u1ebf, n\u1ebfu b\u1ea1n c\u00e0ng bi\u1ebft th\u00eam nhi\u1ec1u th\u00f4ng tin v\u1ec1 SEC th\u00ec s\u1ebd hi\u1ec3u r\u00f5 v\u1ec1 nh\u1eefng quy\u1ec1n l\u1ee3i m\u00e0 m\u00ecnh c\u00f3 \u0111\u01b0\u1ee3c khi \u0111\u1ea7u t\u01b0 th\u1ecb tr\u01b0\u1eddng t\u00e0i ch\u00ednh qu\u1ed1c t\u1ebf.<\/p>\n

L\u1ecbch s\u1eed h\u00ecnh th\u00e0nh c\u1ee7a SEC l\u00e0 g\u00ec?<\/b><\/h2>\n

SEC \u0111\u01b0\u1ee3c th\u00e0nh l\u1eadp v\u00e0o ng\u00e0y 6 th\u00e1ng 6 n\u0103m 1934, trong b\u1ed1i c\u1ea3nh Hoa K\u1ef3 \u0111ang \u0111\u1ed1i m\u1eb7t v\u1edbi nh\u1eefng h\u1eadu qu\u1ea3 nghi\u00eam tr\u1ecdng c\u1ee7a \u0110\u1ea1i kh\u1ee7ng ho\u1ea3ng kinh t\u1ebf. S\u1ef1 ki\u1ec7n n\u00e0y \u0111\u00e1nh d\u1ea5u m\u1ed9t b\u01b0\u1edbc quan tr\u1ecdng trong vi\u1ec7c x\u00e2y d\u1ef1ng l\u1ea1i ni\u1ec1m tin v\u00e0o h\u1ec7 th\u1ed1ng t\u00e0i ch\u00ednh v\u00e0 ch\u1ee9ng kho\u00e1n sau nh\u1eefng th\u1ea5t b\u1ea1i nghi\u00eam tr\u1ecdng c\u1ee7a th\u1ecb tr\u01b0\u1eddng trong nh\u1eefng n\u0103m 1920 v\u00e0 \u0111\u1ea7u 1930.<\/span><\/p>\n

V\u00e0o \u0111\u1ea7u th\u1ebf k\u1ef7 20, th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n M\u1ef9 tr\u1ea3i qua m\u1ed9t th\u1eddi k\u1ef3 ph\u00e1t tri\u1ec3n m\u1ea1nh m\u1ebd v\u1edbi s\u1ef1 gia t\u0103ng nhanh ch\u00f3ng v\u1ec1 s\u1ed1 l\u01b0\u1ee3ng c\u00e1c c\u00f4ng ty ni\u00eam y\u1ebft v\u00e0 ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch. Tuy nhi\u00ean, s\u1ef1 b\u00f9ng n\u1ed5 trong nh\u1eefng n\u0103m 1920 \u0111\u00e3 d\u1eabn \u0111\u1ebfn t\u00ecnh tr\u1ea1ng \u0111\u1ea7u c\u01a1 th\u00e1i qu\u00e1 v\u00e0 c\u00e1c h\u00e0nh vi gian l\u1eadn t\u00e0i ch\u00ednh. Khi cu\u1ed9c kh\u1ee7ng ho\u1ea3ng t\u00e0i ch\u00ednh x\u1ea3y ra v\u00e0o n\u0103m 1929, th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n s\u1ee5p \u0111\u1ed5 nghi\u00eam tr\u1ecdng.<\/span><\/p>\n

\"sec-la-gi-2\"<\/p>\n

\u0110\u1ec3 \u1ee9ng ph\u00f3 v\u1edbi t\u00ecnh tr\u1ea1ng n\u00e0y v\u00e0 kh\u00f4i ph\u1ee5c s\u1ef1 \u1ed5n \u0111\u1ecbnh c\u1ee7a h\u1ec7 th\u1ed1ng t\u00e0i ch\u00ednh, T\u1ed5ng th\u1ed1ng Franklin D. Roosevelt \u0111\u00e3 \u0111\u1ec1 xu\u1ea5t m\u1ed9t lo\u1ea1t c\u00e1c c\u1ea3i c\u00e1ch t\u00e0i ch\u00ednh trong khu\u00f4n kh\u1ed5 Ch\u01b0\u01a1ng tr\u00ecnh New Deal. M\u1ed9t trong nh\u1eefng s\u00e1ng ki\u1ebfn quan tr\u1ecdng c\u1ee7a Ch\u01b0\u01a1ng tr\u00ecnh New Deal l\u00e0 vi\u1ec7c th\u00e0nh l\u1eadp SEC.<\/span><\/p>\n

Ngay t\u1eeb khi m\u1edbi th\u00e0nh l\u1eadp, SEC \u0111\u00e3 nhanh ch\u00f3ng b\u1eaft tay v\u00e0o vi\u1ec7c x\u00e2y d\u1ef1ng v\u00e0 th\u1ef1c thi c\u00e1c quy \u0111\u1ecbnh nh\u1eb1m c\u1ea3i thi\u1ec7n t\u00ednh minh b\u1ea1ch v\u00e0 c\u00f4ng b\u1eb1ng tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n. SEC \u0111\u00e3 \u00e1p d\u1ee5ng c\u00e1c quy \u0111\u1ecbnh y\u00eau c\u1ea7u c\u00e1c c\u00f4ng ty ph\u1ea3i c\u00f4ng khai b\u00e1o c\u00e1o t\u00e0i ch\u00ednh \u0111\u1ecbnh k\u1ef3 v\u00e0 th\u00f4ng b\u00e1o c\u00e1c th\u00f4ng tin quan tr\u1ecdng, \u0111\u1ed3ng th\u1eddi th\u1ef1c hi\u1ec7n c\u00e1c bi\u1ec7n ph\u00e1p \u0111i\u1ec1u tra v\u00e0 x\u1eed l\u00fd c\u00e1c h\u00e0nh vi vi ph\u1ea1m ph\u00e1p lu\u1eadt.<\/span><\/p>\n

C\u1ea5u tr\u00fac c\u1ee7a SEC l\u00e0 g\u00ec? \u0110\u01b0\u1ee3c t\u1ed5 ch\u1ee9c nh\u01b0 th\u1ebf n\u00e0o?<\/b><\/h2>\n

T\u1ed5 ch\u1ee9c n\u00e0y hi\u1ec7n \u0111ang \u0111\u01b0\u1ee3c qu\u1ea3n l\u00fd b\u1edfi m\u1ed9t \u1ee7y ban g\u1ed3m c\u00f3 5 \u1ee7y vi\u00ean \u0111\u1ee9ng \u0111\u1ea7u. Theo \u0111\u00f3, \u1ee7y vi\u00ean \u0111\u01b0\u1ee3c T\u1ed5ng th\u1ed1ng Hoa K\u1ef3 b\u1ed5 nhi\u1ec7m v\u00e0 ph\u1ea3i \u0111\u01b0\u1ee3c Th\u01b0\u1ee3ng vi\u1ec7n ph\u00ea chu\u1ea9n. C\u00e1c uy vi\u00ean SEC kh\u00f4ng th\u1ec3 \u0111\u1ed3ng th\u1eddi l\u00e0 th\u00e0nh vi\u00ean c\u1ee7a c\u00f9ng m\u1ed9t \u0111\u1ea3ng ch\u00ednh tr\u1ecb. \u0110i\u1ec1u n\u00e0y gi\u00fap \u0111\u1ea3m b\u1ea3o s\u1ef1 c\u00e2n b\u1eb1ng ch\u00ednh tr\u1ecb v\u00e0 \u0111\u1ed9c l\u1eadp trong ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u01a1 quan.<\/span><\/p>\n

M\u1ed9t trong n\u0103m \u1ee6y vi\u00ean s\u1ebd \u0111\u01b0\u1ee3c ch\u1ec9 \u0111\u1ecbnh l\u00e0m Ch\u1ee7 t\u1ecbch SEC, ng\u01b0\u1eddi \u0111\u1ee9ng \u0111\u1ea7u v\u00e0 \u0111i\u1ec1u h\u00e0nh c\u00e1c ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u01a1 quan. Ch\u1ee7 t\u1ecbch SEC c\u00f3 tr\u00e1ch nhi\u1ec7m l\u00e3nh \u0111\u1ea1o c\u00e1c ho\u1ea1t \u0111\u1ed9ng h\u00e0ng ng\u00e0y c\u1ee7a \u1ee6y ban, \u0111\u01b0a ra c\u00e1c quy\u1ebft \u0111\u1ecbnh quan tr\u1ecdng v\u00e0 \u0111\u1ea1i di\u1ec7n cho SEC trong c\u00e1c cu\u1ed9c h\u1ecdp c\u00f4ng c\u1ed9ng v\u00e0 tr\u01b0\u1edbc Qu\u1ed1c h\u1ed9i.<\/span><\/p>\n

\"sec-la-gi-3\"<\/p>\n

Ch\u1ee7 t\u1ecbch SEC v\u00e0 c\u00e1c \u1ee6y vi\u00ean ph\u1ee5c v\u1ee5 nhi\u1ec7m k\u1ef3 5 n\u0103m, v\u00e0 nhi\u1ec7m k\u1ef3 c\u1ee7a h\u1ecd kh\u00f4ng tr\u00f9ng v\u1edbi nhi\u1ec7m k\u1ef3 c\u1ee7a T\u1ed5ng th\u1ed1ng. \u0110i\u1ec1u n\u00e0y gi\u00fap SEC duy tr\u00ec s\u1ef1 \u0111\u1ed9c l\u1eadp v\u00e0 li\u00ean t\u1ee5c trong qu\u1ea3n l\u00fd, b\u1ea5t ch\u1ea5p s\u1ef1 thay \u0111\u1ed5i trong ch\u00ednh tr\u1ecb v\u00e0 l\u00e3nh \u0111\u1ea1o qu\u1ed1c gia.<\/span><\/p>\n

Th\u00eam v\u00e0o \u0111\u00f3, SEC c\u00f2n \u0111\u01b0\u1ee3c ph\u00e2n nh\u00e1nh th\u00e0nh nhi\u1ec1u c\u01a1 quan ch\u1ee9c n\u0103ng v\u00e0 uy ban qu\u1ea3n l\u00fd kh\u00e1c nhau. Ch\u1eb3ng h\u1ea1n nh\u01b0 V\u0103n ph\u00f2ng Thanh tra, V\u0103n ph\u00f2ng \u0110i\u1ec1u tra, \u1ee6y ban Ch\u1ee9ng kho\u00e1n v\u00e0 Ng\u00e2n h\u00e0ng \u0110\u1ea7u t\u01b0, \u1ee6y ban T\u01b0 v\u1ea5n Ch\u00ednh s\u00e1ch, \u1ee6y ban Th\u1ecb tr\u01b0\u1eddng M\u1edf,…<\/span><\/p>\n

Ngo\u00e0i nh\u1eefng \u0111\u01a1n v\u1ecb tr\u00ean, SEC c\u00f2n \u0111\u01b0\u1ee3c ph\u00e2n b\u1ed5 c\u1ea5u tr\u00fac t\u1ed5 ch\u1ee9c v\u00f4 c\u00f9ng logic c\u1ee7a c\u01a1 quan c\u1ea5p cao. Bao g\u1ed3m c\u1ea3 Gi\u00e1m \u0111\u1ed1c \u0111i\u1ec1u h\u00e0nh, Ph\u00f3 gi\u00e1m \u0111\u1ed1c \u0111i\u1ec1u h\u00e0nh v\u00e0 ph\u00e2n chia xu\u1ed1ng l\u00e0 gi\u00e1m \u0111\u1ed1c c\u1ee7a t\u1eebng v\u0103n ph\u00f2ng.<\/span><\/p>\n

Vai tr\u00f2 v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a SEC nh\u01b0 th\u1ebf n\u00e0o?<\/b><\/h2>\n

Nh\u01b0 ch\u00fang ta \u0111\u00e3 bi\u1ebft v\u1ec1 ph\u1ea7n kh\u00e1i ni\u1ec7m SEC l\u00e0 g\u00ec?<\/strong> T\u1ed5 ch\u1ee9c n\u00e0y \u0111\u00f3ng vai tr\u00f2 ch\u1ee7 ch\u1ed1t trong vi\u1ec7c duy tr\u00ec s\u1ef1 \u1ed5n \u0111\u1ecbnh c\u1ee7a th\u1ecb tr\u01b0\u1eddng t\u00e0i ch\u00ednh. C\u01a1 quan n\u00e0y th\u1ef1c hi\u1ec7n m\u1ed9t lo\u1ea1t c\u00e1c ho\u1ea1t \u0111\u1ed9ng v\u00e0 nhi\u1ec7m v\u1ee5 nh\u1eb1m b\u1ea3o v\u1ec7 quy\u1ec1n l\u1ee3i c\u1ee7a c\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0 v\u00e0 \u0111\u1ea3m b\u1ea3o s\u1ef1 c\u00f4ng b\u1eb1ng trong c\u00e1c ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n. N\u1ebfu b\u1ea1n mu\u1ed1n chi ti\u1ebft h\u01a1n th\u00ec h\u00e3y xem qua n\u1ed9i dung sau \u0111\u00e2y nh\u00e9.<\/span><\/p>\n

Gi\u00e1m s\u00e1t v\u00e0 \u0111i\u1ec1u ch\u1ec9nh th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n<\/b><\/h3>\n

SEC c\u00f3 nhi\u1ec7m v\u1ee5 gi\u00e1m s\u00e1t c\u00e1c s\u00e0n giao d\u1ecbch ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c c\u00f4ng ty ni\u00eam y\u1ebft \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o r\u1eb1ng c\u00e1c ho\u1ea1t \u0111\u1ed9ng tr\u00ean th\u1ecb tr\u01b0\u1eddng di\u1ec5n ra theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt. C\u01a1 quan n\u00e0y y\u00eau c\u1ea7u c\u00e1c c\u00f4ng ty ni\u00eam y\u1ebft ph\u1ea3i c\u00f4ng khai th\u00f4ng tin t\u00e0i ch\u00ednh m\u1ed9t c\u00e1ch minh b\u1ea1ch v\u00e0 \u0111\u1ecbnh k\u1ef3, bao g\u1ed3m c\u00e1c b\u00e1o c\u00e1o t\u00e0i ch\u00ednh h\u00e0ng qu\u00fd v\u00e0 h\u00e0ng n\u0103m. \u0110i\u1ec1u n\u00e0y c\u0169ng gi\u00fap nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00f3 \u0111\u1ee7 th\u00f4ng tin \u0111\u1ec3 \u0111\u01b0a ra quy\u1ebft \u0111\u1ecbnh \u0111\u1ea7u t\u01b0 ch\u00ednh x\u00e1c v\u00e0 gi\u1ea3m thi\u1ec3u nguy c\u01a1 gian l\u1eadn t\u00e0i ch\u00ednh.<\/span><\/p>\n

B\u1ea3o v\u1ec7 quy\u1ec1n l\u1ee3i c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0<\/b><\/h3>\n

Vai tr\u00f2 b\u1ea3o v\u1ec7 quy\u1ec1n l\u1ee3i c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 l\u00e0 lu\u00f4n ti\u00ean quy\u1ebft \u0111\u1ed1i v\u1edbi SEC. B\u1eb1ng c\u00e1ch th\u1ef1c hi\u1ec7n c\u00e1c quy \u0111\u1ecbnh ch\u1ed1ng gian l\u1eadn v\u00e0 l\u1eeba \u0111\u1ea3o trong th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, SEC ho\u00e0n to\u00e0n c\u00f3 tr\u00e1ch nhi\u1ec7m b\u1ea3o v\u1ec7 quy\u1ec1n l\u1ee3i c\u1ee7a c\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0. B\u00ean c\u1ea1nh \u0111\u00f3, c\u01a1 quan n\u00e0y c\u00f2n \u0111i\u1ec1u tra c\u00e1c h\u00e0nh vi kh\u00f4ng minh b\u1ea1ch nh\u01b0 giao d\u1ecbch n\u1ed9i gi\u00e1n, thao t\u00fang th\u1ecb tr\u01b0\u1eddng v\u00e0 c\u00e1c h\u00ecnh th\u1ee9c gian l\u1eadn kh\u00e1c. H\u01a1n n\u1eefa, SEC c\u0169ng t\u1ed5 ch\u1ee9c c\u00e1c ch\u01b0\u01a1ng tr\u00ecnh gi\u00e1o d\u1ee5c \u0111\u1ec3 n\u00e2ng cao nh\u1eadn th\u1ee9c c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 v\u1ec1 c\u00e1c r\u1ee7i ro v\u00e0 c\u01a1 h\u1ed9i \u0111\u1ea7u t\u01b0, gi\u00fap h\u1ecd \u0111\u01b0a ra quy\u1ebft \u0111\u1ecbnh th\u00f4ng minh v\u00e0 b\u1ea3o v\u1ec7 quy\u1ec1n l\u1ee3i c\u1ee7a m\u00ecnh.<\/span><\/p>\n

\"sec-la-gi-4\"<\/p>\n

\u0110i\u1ec1u tra v\u00e0 x\u1eed l\u00fd vi ph\u1ea1m<\/b><\/h3>\n

SEC l\u00e0 g\u00ec?<\/strong> SEC \u0111i\u1ec1u tra v\u00e0 x\u1eed l\u00fd vi ph\u1ea1m nh\u01b0 th\u1ebf n\u00e0o? SEC c\u00f3 quy\u1ec1n \u0111i\u1ec1u tra v\u00e0 x\u1eed l\u00fd c\u00e1c v\u1ee5 vi\u1ec7c vi ph\u1ea1m ph\u00e1p lu\u1eadt li\u00ean quan \u0111\u1ebfn ch\u1ee9ng kho\u00e1n. C\u01a1 quan n\u00e0y c\u00f3 th\u1ec3 \u00e1p d\u1ee5ng c\u00e1c bi\u1ec7n ph\u00e1p ch\u1ebf t\u00e0i nh\u01b0 ph\u1ea1t ti\u1ec1n, c\u1ea5m h\u00e0nh ngh\u1ec1, v\u00e0 y\u00eau c\u1ea7u b\u1ed3i th\u01b0\u1eddng cho c\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0 b\u1ecb thi\u1ec7t h\u1ea1i. SEC th\u01b0\u1eddng xuy\u00ean ph\u1ed1i h\u1ee3p v\u1edbi c\u00e1c c\u01a1 quan ph\u00e1p lu\u1eadt kh\u00e1c \u0111\u1ec3 x\u1eed l\u00fd c\u00e1c v\u1ee5 vi\u1ec7c nghi\u00eam tr\u1ecdng v\u00e0 b\u1ea3o v\u1ec7 s\u1ef1 c\u00f4ng b\u1eb1ng tr\u00ean th\u1ecb tr\u01b0\u1eddng.<\/span><\/p>\n

X\u00e2y d\u1ef1ng v\u00e0 ban h\u00e0nh quy \u0111\u1ecbnh<\/b><\/h3>\n

SEC kh\u00f4ng ng\u1eebng c\u1eadp nh\u1eadt v\u00e0 \u0111i\u1ec1u ch\u1ec9nh c\u00e1c quy \u0111\u1ecbnh \u0111\u1ec3 \u0111\u00e1p \u1ee9ng v\u1edbi s\u1ef1 thay \u0111\u1ed5i v\u00e0 ph\u00e1t tri\u1ec3n c\u1ee7a th\u1ecb tr\u01b0\u1eddng t\u00e0i ch\u00ednh. C\u01a1 quan n\u00e0y th\u01b0\u1eddng xuy\u00ean nghi\u00ean c\u1ee9u v\u00e0 \u0111\u01b0a ra c\u00e1c quy t\u1eafc m\u1edbi, \u0111i\u1ec1u ch\u1ec9nh c\u00e1c quy \u0111\u1ecbnh hi\u1ec7n t\u1ea1i \u0111\u1ec3 ph\u1ea3n \u00e1nh nh\u1eefng thay \u0111\u1ed5i trong c\u00f4ng ngh\u1ec7 v\u00e0 c\u00e1ch th\u1ee9c giao d\u1ecbch. Nh\u1eb1m \u0111\u1ea3m b\u1ea3o r\u1eb1ng c\u00e1c quy \u0111\u1ecbnh v\u1eabn ph\u00f9 h\u1ee3p v\u00e0 hi\u1ec7u qu\u1ea3 trong vi\u1ec7c b\u1ea3o v\u1ec7 nh\u00e0 \u0111\u1ea7u t\u01b0 v\u00e0 duy tr\u00ec t\u00ednh c\u00f4ng b\u1eb1ng c\u1ee7a th\u1ecb tr\u01b0\u1eddng. Do \u0111\u00f3, khi b\u1ea1n c\u00e0ng t\u00ecm hi\u1ec3u s\u00e2u h\u01a1n ho\u1ea1t \u0111\u1ed9ng c\u1ee7a SEC l\u00e0 g\u00ec<\/strong> th\u00ec s\u1ebd th\u1ea5y quy\u1ec1n l\u1ee3i \u0111\u1ea7u t\u01b0 th\u1ecb tr\u01b0\u1eddng t\u00e0i ch\u00ednh qu\u1ed1c t\u1ebf c\u1ee7a m\u00ecnh c\u00e0ng r\u00f5 r\u00e0ng.<\/span><\/p>\n

\"sec-la-gi-5\"<\/p>\n

\u0110\u1ea9y m\u1ea1nh s\u1ef1 minh b\u1ea1ch v\u00e0 \u0111\u1ed5i m\u1edbi<\/b><\/h3>\n

Song song, SEC c\u00f2n khuy\u1ebfn kh\u00edch s\u1ef1 minh b\u1ea1ch trong th\u1ecb tr\u01b0\u1eddng t\u00e0i ch\u00ednh v\u00e0 h\u1ed7 tr\u1ee3 s\u1ef1 \u0111\u1ed5i m\u1edbi. Th\u00f4ng qua h\u00e0nh \u0111\u1ed9ng th\u00fac \u0111\u1ea9y vi\u1ec7c \u00e1p d\u1ee5ng c\u00e1c c\u00f4ng ngh\u1ec7 m\u1edbi v\u00e0 c\u1ea3i ti\u1ebfn quy tr\u00ecnh c\u00f4ng b\u1ed1 th\u00f4ng tin. C\u01a1 quan n\u00e0y l\u00e0m vi\u1ec7c \u0111\u1ec3 t\u1ea1o \u0111i\u1ec1u ki\u1ec7n thu\u1eadn l\u1ee3i cho s\u1ef1 ph\u00e1t tri\u1ec3n c\u1ee7a c\u00e1c c\u00f4ng c\u1ee5 t\u00e0i ch\u00ednh m\u1edbi v\u00e0 c\u00e1c m\u00f4 h\u00ecnh giao d\u1ecbch, \u0111\u1ed3ng th\u1eddi \u0111\u1ea3m b\u1ea3o r\u1eb1ng c\u00e1c c\u00f4ng ty v\u00e0 t\u1ed5 ch\u1ee9c tham gia v\u00e0o th\u1ecb tr\u01b0\u1eddng \u0111\u1ec1u tu\u00e2n th\u1ee7 c\u00e1c quy \u0111\u1ecbnh hi\u1ec7n h\u00e0nh.\u00a0<\/span><\/p>\n

L\u00e0m vi\u1ec7c v\u1edbi c\u01a1 quan c\u1ea5p cao kh\u00e1c<\/b><\/h3>\n

SEC th\u01b0\u1eddng xuy\u00ean ph\u1ed1i h\u1ee3p v\u00e0 l\u00e0m vi\u1ec7c v\u1edbi nhi\u1ec1u c\u01a1 quan v\u00e0 t\u1ed5 ch\u1ee9c kh\u00e1c \u0111\u1ec3 th\u1ef1c hi\u1ec7n nhi\u1ec7m v\u1ee5 c\u1ee7a m\u00ecnh. C\u0169ng nh\u01b0 \u0111\u1ea3m b\u1ea3o t\u00ednh hi\u1ec7u qu\u1ea3 trong vi\u1ec7c gi\u00e1m s\u00e1t v\u00e0 \u0111i\u1ec1u ch\u1ec9nh th\u1ecb tr\u01b0\u1eddng t\u00e0i ch\u00ednh. C\u00e1c c\u01a1 quan v\u00e0 t\u1ed5 ch\u1ee9c n\u00e0y c\u00f3 th\u1ec3 bao g\u1ed3m: B\u1ed9 T\u01b0 ph\u00e1p Hoa K\u1ef3 (DOJ), \u1ee6y ban D\u1ecbch v\u1ee5 T\u00e0i ch\u00ednh c\u1ee7a Qu\u1ed1c h\u1ed9i Hoa K\u1ef3, C\u1ee5c D\u1ef1 tr\u1eef Li\u00ean bang (Fed), \u1ee6y ban Giao d\u1ecbch H\u00e0ng h\u00f3a v\u00e0 Ch\u1ee9ng kho\u00e1n (CFTC), C\u01a1 quan \u0110\u0103ng k\u00fd v\u00e0 Qu\u1ea3n l\u00fd Ng\u00e2n h\u00e0ng (FDIC), c\u00e1c c\u01a1 quan v\u00e0 t\u1ed5 ch\u1ee9c qu\u1ed1c t\u1ebf, c\u01a1 quan v\u00e0 t\u1ed5 ch\u1ee9c b\u1ea3o v\u1ec7 ng\u01b0\u1eddi ti\u00eau d\u00f9ng,…<\/span><\/p>\n

Quy\u1ec1n h\u1ea1n c\u1ee7a SEC nh\u01b0 th\u1ebf n\u00e0o?<\/b><\/h2>\n

Tr\u00ean th\u1ef1c t\u1ebf, SEC \u0111\u01b0\u1ee3c giao quy\u1ec1n h\u1ea1n r\u1ed9ng l\u1edbn trong vi\u1ec7c qu\u1ea3n l\u00fd v\u00e0 \u0111i\u1ec1u ch\u1ec9nh th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n. V\u00e0 n\u1ebfu mu\u1ed1n tr\u1edf th\u00e0nh m\u1ed9t nh\u00e0 \u0111\u1ea7u t\u01b0 th\u00f4ng th\u00e1i th\u00ec b\u1ea1n c\u1ea7n ph\u1ea3i n\u1eafm v\u1eefng nh\u1eefng th\u00f4ng tin trong danh m\u1ee5c n\u00e0y. \u0110\u1ea7u ti\u00ean, SEC s\u1ebd c\u00f3 quy\u1ec1n ki\u1ec3m tra t\u00e0i kho\u1ea3n c\u1ee7a nh\u1eefng c\u00f4ng ty b\u00e1o c\u00e1o t\u00e0i ch\u00ednh v\u00e0 b\u1ea3ng c\u00e2n \u0111\u1ed1i k\u1ebf to\u00e1n.<\/span><\/p>\n

\"sec-la-gi-6\"<\/p>\n

Th\u1ee9 hai, SEC c\u00f2n \u0111\u01b0\u1ee3c quy\u1ec1n y\u00eau c\u1ea7u c\u00e1c t\u1ed5 ch\u1ee9c cung c\u1ea5p th\u00f4ng tin v\u1ec1 ho\u1ea1t \u0111\u1ed9ng t\u00e0i ch\u00ednh. C\u0169ng nh\u01b0 d\u1eef ki\u1ec7n ch\u1ee9ng kho\u00e1n li\u00ean quan c\u1ee7a nh\u1eefng ai tham gia v\u00e0o th\u1ecb tr\u01b0\u1eddng \u0111\u1ea7u t\u01b0. M\u1ee5c \u0111\u00edch c\u1ee7a h\u00e0nh \u0111\u1ed9ng n\u00e0y l\u00e0 g\u00f3p ph\u1ea7n \u0111\u1ea3m b\u1ea3o t\u00ednh minh b\u1ea1ch cho to\u00e0n th\u1ecb tr\u01b0\u1eddng v\u00e0 ng\u0103n ch\u1eb7n t\u00ecnh tr\u1ea1ng thao t\u00fang.<\/span><\/p>\n

Cu\u1ed1i c\u00f9ng, SEC c\u00f2n \u0111\u01b0\u1ee3c c\u1ea5p quy\u1ec1n x\u1eed ph\u1ea1t v\u00e0 ban l\u1ec7nh c\u1ea5m v\u1eadn h\u00e0nh \u0111\u1ed1i v\u1edbi nh\u1eefng c\u00f4ng ty vi ph\u1ea1m \u0111\u1eb7c bi\u1ec7t nghi\u00eam tr\u1ecdng quy \u0111\u1ecbnh c\u1ee7a SEC.\u00a0<\/span><\/p>\n

K\u1ebft lu\u1eadn<\/b><\/h2>\n

Nh\u01b0 v\u1eady ch\u00fang ta \u0111\u00e3 c\u00f9ng nhau t\u00ecm hi\u1ec3u v\u1ec1 SEC l\u00e0 g\u00ec?<\/strong> V\u1edbi nhi\u1ec7m v\u1ee5 ch\u00ednh l\u00e0 b\u1ea3o v\u1ec7 quy\u1ec1n l\u1ee3i c\u1ee7a c\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0 v\u00e0 duy tr\u00ec s\u1ef1 c\u00f4ng b\u1eb1ng trong c\u00e1c ho\u1ea1t \u0111\u1ed9ng c\u1ee7a th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n. SEC \u0111\u00e3 tr\u1edf th\u00e0nh c\u01a1 quan qu\u1ea3n l\u00fd trung t\u00e2m v\u00e0 gi\u00e1m s\u00e1t c\u00e1c s\u00e0n giao d\u1ecbch t\u00e0i ch\u00ednh n\u00f3i chung. \u0110\u1ed3ng th\u1eddi, v\u1edbi s\u1ef1 ph\u1ed1i h\u1ee3p c\u1ee7a SEC v\u1edbi c\u00e1c c\u01a1 quan v\u00e0 t\u1ed5 ch\u1ee9c qu\u1ed1c t\u1ebf \u0111\u00e3 gi\u00fap c\u1ee7ng c\u1ed1 s\u1ef1 \u1ed5n \u0111\u1ecbnh t\u00e0i ch\u00ednh to\u00e0n c\u1ea7u. H\u01a1n h\u1ebft l\u00e0 n\u00f3 ph\u1ea3n \u00e1nh cam k\u1ebft c\u1ee7a c\u01a1 quan n\u00e0y trong vi\u1ec7c b\u1ea3o v\u1ec7 quy\u1ec1n l\u1ee3i c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 v\u00e0 duy tr\u00ec s\u1ef1 c\u00f4ng b\u1eb1ng trong th\u1ecb tr\u01b0\u1eddng t\u00e0i ch\u00ednh.<\/span><\/p>\n

Xem th\u00eam:<\/b><\/p>\n