SEC restricted entity refers to a kind of entity regulated by the securities and exchange commission (sec). SEC restricted entities usually include listed companies, investment funds (including mutual funds and foreign exchange funds), custodian banks, brokers and other financial institutions.

SEC restricted entities must abide by SEC regulations and rules when issuing and trading securities. These laws and regulations mainly include information disclosure, insider trading, market manipulation and other prohibitive provisions and requirements related to securities trading. The SEC will supervise and investigate these entities to ensure that they abide by securities laws and regulations, protect the interests of investors and maintain a fair and transparent securities market.

It should be noted that the SEC restricted entities are aimed at American regulators, and similar institutions in other countries may have different names and regulatory standards.