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 ?
with the United States SEC on 26 July 2013 and to our annualreports on
However, it is claimed the stocks were not generated by any technical analysis and were in fact those companies were paying the brothers to promote, according to the United States SEC, which brought the civil action.
Further information regarding these and other risks is included in our filings with the United States SEC.
c=229711&p=irol-SECText&TEXT=aHR0cDovL2FwaS50ZW5rd2l6YXJkLmNvbS9maWxpbmcueG1sP2lwYWdlPTg3ODAxODUmRFNFUT0wJlNFUT0wJlNRREVTQz1TRUNUSU9OX0VOVElSRSZzdWJzaWQ9NTc%3d#tx484054_10) filing to United States SEC (Security & Exchange Commission), has expressed fears about the possibility of smartphone coming out from the Redmond-based company, as it could affect its future smartphone business.
No one yet seems to know what these licences will cost, however, a "Draft S-4" document filed with the United States SEC (Securities Exchange Commission) shows that profits of one part of the NYSE known as "The Big Board" are expected to rise from $40m a year currently to $195m by 2007.
IDS will now use a United States SEC certified accounting firm to conduct its audits to meet the necessary requirements to transition to a listed exchange.
The United States SEC permits mining companies, in their filings with the SEC, to disclose only those mineral deposits that a company can economically and legally extract or produce.
a United States SEC Registered Investment Adviser (#801-65318) that identifies and corrects costly inefficiencies in company retirement programs.
While these projections and other statements represent our best current judgment, they may involve additional risks and uncertainties including, but not limited to, factors detailed in CHC's Annual Report on Form 20-F and in other filings with the United States SEC and the Canadian securities regulatory authorities.
These statements may involve risks and uncertainties including, but not limited to, factors detailed in CHC's Annual Report on Form 20-F and in other filings with the United States SEC.
While projections and other statements represent our best current judgement, they may involve additional risks and uncertainties including, but not limited to, factors detailed in CHC's Annual Report on Form 20-F and in other filings with the United States SEC and the Canadian securities regulatory authorities.
While these projections and other statements represent our best current judgement, they may involve additional risks and uncertainties including, but not limited to, the exercise by TOTAL E&P Norge AS of early termination rights in the contract and other factors detailed in CHC's Annual Report on Form 20-F and in other filings with the United States SEC and the Canadian securities regulatory authorities.

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