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 ?
Dearie rejected that argument, writing on Tuesday that the federal securities law must be interpreted "flexibly." The judge noted that the U.S. Securities and Exchange Commission, which brings civil securities fraud actions, has said that it considers some cryptocurrencies to be securities.
SAO PAULO: Banco Santander S.A.'s Annual Report on Form 20-F was filed with the U.S. Securities and Exchange Commission, or the SEC, and with the Brazilian Securities and Exchange Commission, the Comissao de Valores Mobiliarios, or CVM, on April 9, 2018.
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Best received notification that it was recognized as an NRSRO by the Division of Market Regulation of the U.S. Securities and Exchange Commission. As a result of the recognition, Best's Credit Ratings may be used when distinguishing levels of creditworthiness required under numerous federal and state laws.
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The U.S. Securities and Exchange Commission issued a release adopting amendments to establish a voluntary program related to eXtensible Business Reporting Language (XBRL).
The U.S. Securities and Exchange Commission (SEC) has proposed to allow filings that include tagged financial information using extensible business reporting language (XBRL)--in addition to the required HTML or ASCII format filings--to its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
The U.S. Securities and Exchange Commission also recently issued a release adopting amendments to establish a voluntary program related to eXtensible Business Reporting Language (XBRL).
BRIAN CARROLL, CPA, is special counsel with the U.S. Securities and Exchange Commission in Philadelphia.

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