About USU.S. OTA
bound by law
The U.S. Offshore Trading Administration is intended to protect the investing public against the misappropriation of their funds and most types of securities in the event of Fraud, Dissolution or Bankruptcy of a third party private financial fiduciary. A Private financial Fiduciary pertains to those individuals or organizations that have a legal responsibility for managing assets in behalf of their clients. The U.S. Offshore Trading Administration is duty bound by law to execute the ethical standards of the securities industry by ensuring that third party financial fiduciaries act on the best interest of their investors and beneficiaries, and not for personal gain of the private financial fiduciary.
The U.S. Offshore Trading Administration is established to promote investor confidence in the securities and capital markets by providing more structure and government oversight. The mission of The U.S. Offshore Trading Administration is to protect investors and maintain integrity of the securities industry, overseeing major participants in the industry, including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies. The U.S. Offshore Trading Administration is concerned primarily with promoting disclosure of important information, enforcing securities laws, and protecting investors who interact with these various organizations and individuals.
Crucial to The U.S. Offshore Trading Administration's effectiveness is its enforcement authority. Each year The U.S. Offshore Trading Administration brings more enforcement actions against individuals and companies that break the securities laws. Typical infractions include insider trading, accounting fraud, and providing false or misleading information about securities and the companies that issue them.
Aside from administering and enforcing federal securities laws in order to maintain fair, honest, and efficient markets, The U.S. Offshore Trading Administration has continuously committed itself to disseminating information to the investing public in a timely and efficient manner, one channel of which is through its website that offers the public a wealth of informational resources.
Fighting securities fraud, however, requires teamwork. At the heart of effective investor protection is an educated and cautious investor. While it is the primary overseer and regulator of the securities markets, the works closely with many different institutions, including other federal departments and agencies, the self regulatory organizations, state securities regulators, and various private sector organizations.