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Securities Director

Real-Life Activities

Real-Life Communication -- Solution

You're a securities administrator talking to Marianne, who feels that she may have been a victim of investor fraud. Before she will tell you her story, she wants to know a bit about the agency office. This is what you tell her:

  1. What is the commission's mission?

    The mission of the commission is to protect the public interest by regulating trading in securities.

  2. What are some of the commission's responsibilities?

    Some of the commission's responsibilities are to make sure that investors have access to enough information about companies, to create rules of fair play for the markets and to create standards and qualifications for people who advise others on investing in the market.

  3. What kind of language does the commission use in its office dealings?

    The office is committed to using plain language in all its documents, so that people aren't confused by jargon or legal language.


Contact

  • Email Support

  • 1-800-GO-TO-XAP (1-800-468-6927)
    From outside the U.S., please call +1 (424) 750-3900

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OCAP believes that financial literacy and understanding the financial aid process are critical aspects of college planning and student success. OCAP staff who work with students, parents, educators and community partners in the areas of personal finance education, state and federal financial aid, and student loan management do not provide financial, investment, legal, and/or tax advice. This website and all information provided is for general educational purposes only, and is not intended to be construed as financial, investment, legal, and/or tax advice.