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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 ?
The identity of the SECC is most strongly affirmed through the affirmation of Soweto.
The first gig at the SECC was UB40, with support from Simply Red, in 1985.
Vendors offering less traditional SECC products that stress a more behavioural approach to security management are challenging vendors offering more conventional solutions.
Tickets for the second SECC gig go on sale today, priced from pounds 25.
will be returning to the SECC for four weeks between March 5 and April 3, 2011.
A spokeswoman for the SECC said: "We have not made any decisions yet.
SECC is a collaborative effort of the K-20 education community all working together toward this mission.
R Joe Car RAITH ROVERS winger Cardle is aiming to deliver a knockout blow Johnstone - a week after watching his boxing brother star at the SECC.
Singer David Draiman and guitarist Dan Donegan were due to appear at the SECC in front of a sell-out crowd with the other band members.
The legendary rocker dropped in on the Clyde naval base, near Helensburgh, ahead of the band's gig at Glasgow's SECC last night.
SureWest and SECC will develop equipment specifications to maximize compatibility of existing equipment in schools and district headquarters.
Due for completion in 2007, it would complement the Armadillo and the existing SECC main hall.