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 Chairperson of the US SEC Mary White holds degrees in law and psychology and prior to joining the US SEC has worked for a law firm and then as a prosecutor.
will no longer file with the US SEC certain reports and forms, including Forms 10-K, 10-Q, and 8-K.
0 provides an automated migration path for users planning to use the US-GAAP 2011 taxonomy in preparing US SEC filings in XBRL.
Investors and stockholders should read the proxy statement/prospectus and the other documents filed with the US SEC in connection with the Vialog transaction carefully before they make any decision with respect to the Vialog transaction.
On September 18th, 2008, the US SEC revoked our trading symbol CLER due to our past US SEC filings not being current.
SEC3 services clients globally, but focuses mainly on US SEC registered companies.
In addition to the Form F-4, the proxy statement/prospectus and the other documents filed with the US SEC in connection with the Vialog transaction, Vialog is obligated to file annual, quarterly and special reports, proxy statements and other information with the US SEC.
Risk Factors" in our 2005 annual report on Form 20-F filed with the US SEC.
US SEC Filings Genesys has filed a registration statement on Form F-4 (No.
Genesys plans to file a Registration Statement on Form F-4 with the US SEC in connection with the Vialog transaction.
Genesys Conferencing plans to file a Registration Statement on Form F-4 with the US SEC in connection with the Vialog transaction.
The change of auditors requires the filing of Form 8-K with the US SEC, which NewMarket completed on a timely basis.