Securities & Exchange Commission

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Securities & Exchange Commission (SEC)

A federal agency that regulates the US financial markets. The SEC also oversees the securities industry and promotes full disclosure in order to protect the investing public against malpractice in the securities markets.

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.
References in periodicals archive ?
The IASC is expected to complete 16 standards on subjects such as intangibles, financial instruments, segments and leasing by the middle of 1999, at which time the IOSCO, which includes in its membership the U.
In connection with the sale of the notes, China Medical will file with the U.
NYSE:RDY) today announced that the Company has filed a shelf registration statement on Form F-3 with the U.
NASDAQ: ISPH) announced today that it received a Wells Notice letter on October 19, 2006 from the staff of the U.
Securities Exchange Act of 1934, as well as the risks described in the documents Vivendi has filed with the U.
On May 19, 2006, MedicalCV filed a registration statement on Form SB-2 with the U.
More information about potential risk factors that could affect the business and financial results of Natus is included in the registration statement on Form S-3, and Natus' annual report on Form 10-K for the year ended December 31, 2005, quarterly reports on Form 10-Q, and in other reports filed from time to time by Natus with the U.
OTTAWA -- Corel Corporation today announced that it has filed a Registration Statement on Form F-1 with the U.
The terms and conditions of the offer are described in offer documents being mailed to Fastclick stockholders and filed with the U.
Investors that while those terms are recognized and required by Canadian regulations, the U.
OB) announced today that a registration statement on Form SB-2 filed April 25, 2005 with the U.
LAS VEGAS -- Progressive Gaming International Corporation (the Company) (NASDAQ: PGIC) announced today that it has filed a registration statement on Form S-4 with the U.

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