Securities and Exchange Commission

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Securities & Exchange Commission

An agency of the U.S. Government that serves at the primary regulator of the securities trade. It attempts to ensure that all trades are fair, and that no price manipulation or insider trading occurs. Additionally, the SEC promotes full disclosure and monitors mergers and acquisitions to ensure continued competitiveness. It works with several self-regulatory organizations, notably FINRA, to enforce its regulations. Most securities offered through interstate commerce must be registered with the SEC.

The SEC was created in 1934 as part of the New Deal to prevent excessive speculation. It is overseen by five commissioners, who are appointed by the President of the United States upon confirmation by the Senate. No more than three commissioners may belong to the same political party.

Securities and Exchange Commission (SEC)

The U.S. government agency, established in 1934, charged with protecting investors and maintaining the integrity of the securities markets. The SEC requires public companies to disclose meaningful financial information to the public, and it oversees participants in the securities business including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies. The commission is composed of 5 presidentially appointed commissioners, 4 divisions, and 18 offices.

Securities and Exchange Commission (SEC).

The Securities and Exchange Commission (SEC) is an independent federal agency that oversees and regulates the securities industry in the United States and enforces securities laws.

The SEC requires registration of all securities that meet the criteria it sets, and of all individuals and firms who sell those securities. It's also a rule making body, with a mandate to turn the law into rules that the investment industry can follow.

Established by Congress in 1934, the SEC sets standards for disclosure by publicly traded corporations, and works to protect investors from misleading or fraudulent practices, including insider trading.

It has four divisions: Corporate Finance, Market Regulation, Investment Management, and Enforcement.

Securities and Exchange Commission

the US government body that regulates the operations of the New York STOCK MARKET.

Securities and Exchange Commission

the US body that regulates the operations of the New York STOCK EXCHANGE.

Securities and Exchange Commission (SEC)

A federal agency charged with the supervision of publicly traded securities and the protection of the public from fraud, manipulation, and other abuses. Real estate may constitute the primary or most important assets of many publicly traded companies such as REITs.In addition,the direct sale of interests in real estate may qualify as a sale of a security and subject one to SEC registration and oversight. As a general matter, certain persons must register with the SEC and certain investment vehicles must be registered with the SEC.On any given transaction,one or the other may be exempt but not both.The SEC has four divisions:

1. Division of Corporation Finance, which oversees disclosure of important information to the public

2. Division of Market Regulations, which regulates the participants in the securities mar- kets, such as broker-dealers and stock exchanges

3. Division of Investment Management, which regulates the $15 trillion investment management industry, including mutual funds.

4. Division of Enforcement, which investigates possible violations of securities laws, conducts civil enforcement actions, and works closely with law enforcement when it appears there has been criminal activity

References in periodicals archive ?
Amendment to these Sections are included in the Securities Laws (Amendment) Bill 2014 by prescribing minimum penalty to be imposed for each violation in the Securities Laws (Amendment) Bill 2014, in addition to the amendments included in the earlier Ordinance.
Other recommendations go beyond what is included in the federal securities laws and would apply to all companies, including those subject to the federal securities laws.
Like securities offerings generally; a Rule 144A offering is subject to the anti-fraud requirements of the securities laws, and, accordingly, all disclosure materials used to market the transaction must be materially accurate and complete.
Unfortunately for the SEC, the courts in recent years have been interpreting securities laws in a less expansive manner.
Generally, the activities of banks, including those securities activities that are conducted in the bank, are regulated under the banking laws by the banking regulators, and securities firms are regulated under the securities laws by the Securities and Exchange Commission (SEC) and self-regulatory organizations (SROs).
What risk management issues are related to securities laws compliance?
The new rules require attorneys to report evidence of a material violation of securities law or breach of fiduciary duty or similar violation, by a company or agent of a company, up the ladder within the company until the attorney receives an adequate response.
Additionally, when stock is sold in violation of securities laws, investors have a right to sue to receive their investment back.
The securities will not be registered under the Securities Act, or any state securities laws, and unless so registered, may not be offered or sold in the United States except pursuant to an exemption from the registration requirements of the Securities Act of 1933 and applicable state laws.
He has also represented clients in a number of complex commercial litigation matters and civil actions brought under the federal securities laws.
This announcement shall not constitute an offer to sell or the solicitation of an offer to buy the notes nor shall there be any sale of the notes in any state in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state.
The notes sold by Sabine Pass LNG were not registered under the Securities Act or any state securities laws, and, unless so registered, may not be offered or sold in the United States except pursuant to an exemption from the registration requirements of the Securities Act and applicable state securities laws.
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