Securities and Exchange Commission

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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 U.S. government agency, established in 1934, charged with protecting investors and maintaining the integrity of the securities markets. The SEC requires public companies to disclose meaningful financial information to the public, and it oversees participants in the securities business including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies. The commission is composed of 5 presidentially appointed commissioners, 4 divisions, and 18 offices.

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.

Securities and Exchange Commission

the US government body that regulates the operations of the New York STOCK MARKET.

Securities and Exchange Commission

the US body that regulates the operations of the New York STOCK EXCHANGE.

Securities and Exchange Commission (SEC)

A federal agency charged with the supervision of publicly traded securities and the protection of the public from fraud, manipulation, and other abuses. Real estate may constitute the primary or most important assets of many publicly traded companies such as REITs.In addition,the direct sale of interests in real estate may qualify as a sale of a security and subject one to SEC registration and oversight. As a general matter, certain persons must register with the SEC and certain investment vehicles must be registered with the SEC.On any given transaction,one or the other may be exempt but not both.The SEC has four divisions:

1. Division of Corporation Finance, which oversees disclosure of important information to the public

2. Division of Market Regulations, which regulates the participants in the securities mar- kets, such as broker-dealers and stock exchanges

3. Division of Investment Management, which regulates the $15 trillion investment management industry, including mutual funds.

4. Division of Enforcement, which investigates possible violations of securities laws, conducts civil enforcement actions, and works closely with law enforcement when it appears there has been criminal activity

References in periodicals archive ?
Subsequently, the Securities Laws (Amendment) Bill 2013 was introduced in the Lok Sabha on the August 12 2013 to amend the SEBI Act 1992 and corresponding changes under Securities Contracts (Regulation) Act, 1956 and the Depositories Act, 1996.
This also applies to organizations that operate within the public trust, such as companies that are not "public" companies under the federal securities laws and some regulated and not-for-profit organizations.
Company staff should be expected to provide all the information that the lawyers and bankers need in a timely and complete fashion, mindful that the anti-fraud requirements of the securities laws must be complied with.
James Cox, a securities law professor at Duke University, expressed nervousness at the prospect of another Supreme Court decision on insider trading law.
The exemptions from the securities laws for banks were originally adopted in recognition of the comprehensive supervisory and regulatory scheme governing the activities fo banks.
Which company compliance programs are critical to the securities law compliance strategy?
Since the shell company is the survivor in the initial reverse merger process, under most states' corporate laws, the liabilities of the shell, including undisclosed and contingent liabilities (such as securities law violations), survive the merger.
Other than as required under the securities laws, Cheniere does not assume a duty to update these forward-looking statements.
The notes being offered by Sabine Pass LNG will not be registered under the Securities Act or any state securities laws and, unless so registered, may not be offered or sold in the United States except pursuant to an exemption from the registration requirements of the Securities Act and applicable state securities laws.
In its lawsuit, Gold Kist asserts claims under Section 8 of the Clayton Act, as well as the federal securities laws.
This press release is not an offer to sell, nor a solicitation of an offer to buy, securities, nor shall there be any sale of these securities in any state or jurisdiction in which the offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of such state or jurisdiction.
The securities to be offered have not been registered under the Securities Act of 1933, as amended, or applicable securities laws, and until so registered, may not be offered or sold in the United States except pursuant to an exemption from the registration requirements of the Securities Act and applicable state securities laws.
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