Securities & Exchange Commission

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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.
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
References in periodicals archive ?
The post U.S. SEC fines Deutsche Bank $16 mln to settle foreign corruption charges appeared first on Cyprus Mail .
In the past, ANC has also invited for talks the likes of Canadian billionaire investor and judge of hit business pitching show "Shark Tank" Kevin O' Learyl; Mandalay Entertainment chairman and CEO and Golden State Warriors (GSW) executive chairman and co-owner, Peter Guber; American politician and diplomat and former U.S. Sec of State Madeleine Albright; and British business magnate, investor, author and philanthropist Richard Branson.
Spirit MTA REIT (SMTA) said it has filed a preliminary proxy statement with the U.S. SEC related to its agreement to sell its Owned Properties held in the Company's Master Trust 2014 and three assets presently owned by Spirit Realty Capital, Inc.
She specializes in complex disputes including contract disputes, U.S. SEC actions, matrimonial disputes and mergers and acquisitions and conducting forensic examinations.
This feat made Nigeria the first African country to issue a bond targeted at retail investors in the United States, a market highly regulated by the United States Securities and Exchange Commission (U.S. SEC).
Finra is an SRO registered with the U.S. SEC. Like our SROs, it is empowered by law to initiate disciplinary proceedings against its members or their associated persons for violating any Finra rule or securities regulation.
Thus, the Act requires disclosure "to the investing public of information about the fund and its investment objectives, as well as on investment company structure and operations." Id.; see also Press Release, U.S. Sec. & Exch.
Lee Flamilton, former U.S. Sec. of Defense and CIA Dir.
(94) Memorandum from Daniel Aromi & Cecilia Caglio to Chairman Christopher Cox, U.S. Sec. & Exch.
JofA: The U.S. SEC recently voted to allow foreign companies that list securities in the United States to drop the requirement to reconcile their financial statements to U.S.
and the beneficiary country, as well as a finding by Treasury that the beneficiary country's tax laws do not discriminate against conventions held in the U.S. Sec. 274(h)(6)(B) defines a "beneficiary country" by reference to Section 212(a)(1)(A) of the Caribbean Basin Economic Recovery Act, and Bermuda.