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Copyright © 2012, Campbell R. Harvey. All Rights Reserved.

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.
Farlex Financial Dictionary. © 2012 Farlex, Inc. All Rights Reserved


Wall Street Words: An A to Z Guide to Investment Terms for Today's Investor by David L. Scott. Copyright © 2003 by Houghton Mifflin Company. Published by Houghton Mifflin Company. All rights reserved. All rights reserved.

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.

Dictionary of Financial Terms. Copyright © 2008 Lightbulb Press, Inc. All Rights Reserved.


See Securities and Exchange Commission.

The Complete Real Estate Encyclopedia by Denise L. Evans, JD & O. William Evans, JD. Copyright © 2007 by The McGraw-Hill Companies, Inc.
References in periodicals archive ?
The effects of sECC on each parameter were examined using one-way analysis of variance-Individual differences among groups were analyzed by Dunnett's test and those at p < 0.05 were accepted as significant.
The identity of the SECC is most strongly affirmed through the affirmation of Soweto.
SECC was established in June, 2001 as part of the Ministry of Communications' efforts to support the technology industry.
'Obtaining a licence from SECC does not mean that the company can start any investment project and collect funds from the public,' Socheat said.
Ticket giveaway Michael and Jason are looking forward to meeting visitors to the Scottish Homebuilding & Renovating Show, when it returns to the SECC, Glasgow on May 21-22, for the 15th consecutive year and we've got 200 FREE tickets to give away.
Tickets are on sale now, priced pounds 10.50, and can be purchased from the SECC box office on 0870 0404000 and ticketmaster on 0870 4000777 or by visiting
According to Socheat, the hefty jump in derivative trading transactions is due to effective regulations from the SECC and growing confidence among investors.
He wrote a letter to the then boss of the SECC in 1984, asking for a job.
The Scottish Daily Mirror has teamed up with HIT Entertainment to give five readers the chance to win a family ticket to see the show when it comes to the SECC in Glasgow on August 1 and 2.
No representative from the Securities and Exchange Commission of Cambodia (SECC) could be reached for comment on Sunday.