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Securities & Exchange Commission
(redirected from United States Securities and Exchange Commission)

   Also found in: Dictionary/thesaurus, Legal, Acronyms, Encyclopedia, Wikipedia, Hutchinson 0.01 sec.
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.


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surrendered this morning on a criminal complaint charging him with securities fraud, aiding and abetting investment adviser fraud, and four counts of filing false audit reports with the United States Securities and Exchange Commission ("SEC")," federal prosecutors in New York state said.
surrendered this morning on a criminal complaint charging him with securities fraud, aiding and abetting investment adviser fraud, and four counts of filing false audit reports with the United States Securities and Exchange Commission ("SEC")," federal prosecutors in New York state said.
CHICAGO & SYDNEY -- Sims Metal Management announces today that we filed our annual report for the fiscal year ended June 30, 2009 on Form 20-F with the United States Securities and Exchange Commission (the "SEC") on November 12, 2009.
 
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