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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 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.


See Securities and Exchange Commission.

References in periodicals archive ?
At the SECC, irate visitors could only see a pin-size Shirley Bassey.
Interest in the correlation abilities of SECCs will continue to increase because of their usefulness in early detection and remediation of attacks, both internal and external.
A spokeswoman for the SECC said: "We have not made any decisions yet.
BGT winners Diversity's two routines rocked the SECC to its feet while rival group Flawless dazzled with their moves.
The legendary rocker dropped in on the Clyde naval base, near Helensburgh, ahead of the band's gig at Glasgow's SECC last night.
Trojan's early grave is not an isolated experience," said Scott Denman, SECC executive director.
The case study on the deployment of VBricks at SECC is now part of a collection that includes over 300 of the year's most innovative applications of technology and will be housed in the archival institutions of the International Archives across the world.
The Scot and the Dagenham Destroyer will clash at Glasgow's SECC on September 22 in front of a 10,000-capacity crowd.
Katie hails the crowd in Glasgow last week Adam Duritz is right at home at the SECC
Due for completion in 2007, it would complement the Armadillo and the existing SECC main hall.
This budget is a national energy tragedy," said SECC Research Director Martin Gelfand.