Regulatory Compliance and Protection of Investors and Consumers

Regulatory Compliance and Protection of Investors and Consumers

University of Phoenix, School of Business

Business Law



This is a compilation in discussion of the four federal agencies regarding the solar panel manufacturing and installation company, Solar Co. Inc. I was tasked with creating a plan to ensure compliance with a variety of regulations that will apply to Solar Co. as the company goes public and continues to expand. The compilation below are examples provided from the course textbook along with other outside sources.

U.S. Securities and Exchange Commission (SEC)

The U. S. Securities and Exchange Commission (SEC) has a three-part mission: Protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. It holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, the nation’s stock and options exchanges, and other activities and organizations including the electronic securities market in United States.

The main purposes of these laws can be reduced to two common-sense notions: Companies offering securities for sale to the public must tell the truth about their business, the securities they are selling, and the risks involved in investing in those securities. Those who sell and trade securities – brokers, dealers, and exchanges – must treat investors fairly and honestly. The regulations relevant to Solar Co.’s business would be to provide sufficient information to investors to avoid violating the antifraud regulation of the securities law, and to fill ‘Form D’ electronically with the U.S securities and Exchange Commission after first sell of securities.

U.S. Environmental Protection Agency

Environmental protection agency is an independent agency of the United States federal government whose mission is to protect human and environmental health. The EPA seeks to protect and conserve the natural environment and improve the health of humans by researching the effects of and mandating limits on the use of pollutants. The EPA regulates the manufacturing, processing, distribution and use of chemicals and other pollutants. In addition, the EPA is charged with determining safe tolerance levels for chemicals and other pollutants in food, animal feed and water. The EPA is able to enforce its findings through fines, sanctions and other procedures. The regulations relevant to Solar Co.’s business would be the Clean Air Act, and the Emergency Planning and Community Right to know Act.

Occupational Safety and Health Administration

Occupational Safety and Health Administration assures safe and healthy working conditions for men and women by setting and enforcing standards and by providing training, outreach, education and assistance. It was created in 1970 to protect the rights and safety of the workers. Its responsibilities are to encourage employees and employers to reduce workplace hazards, improve existing safety, and monitor job related injuries and illnesses. OSHA coverage extends to most, but not all, private sector employers and their workers. OSHA rules cover numerous industry workplaces from construction to maritime to agriculture. OSHA determines which standards and requirements apply to which workplace environments and then enforces employer adherence to those standards and requirements. The regulations relevant to Solar Co.’s business would be to educate employees on precaution to prevent accident, and inspection of workplace for elimination of hazards.

U.S. Consumer Product Safety Commission

U.S. Consumer Product Safety Commission seek to promote the safety of consumer products by addressing unreasonable risks of injury, developing uniform safety standards, and conducting research into product related illness and injury. CPSC works to reduce the risk of injuries and deaths from consumer products by: developing voluntary standards with industry, issuing and enforcing mandatory standards; banning consumer products if no standard would adequately protect the public, obtaining the recall of products and arranging for their repair, replacement or a refund, conducting research on potential product hazards, and informing and educating consumers through the media, state and local governments, private organizations, and by responding to consumer inquiries. The regulations relevant to Solar Co.’s business would be testing and labelling pertaining to product certification, and Certificate of Compliance.


I believe the recommendations of Solar Co. to ensure compliance with each of the above regulations would be to offer training, education, outreach to firefighters and building officials; Create an inclusive stakeholder process when adopting or updating codes; Provide clear and consistent enforcement of codes and a transparent process; Identify and address implementation hurdles related to licensing and certification.

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