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.

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.
References in periodicals archive ?
M2 EQUITYBITES-January 22, 2018-Blackstone / GSO Senior Floating Rate Term Fund files registration statement with US SEC for rights offering
This was learned from the Bureau of the Treasury (BTr) who said the proposed issuance of ROPs or global bonds this year will no longer be reviewed by the US SEC.
The Chairperson of the US SEC Mary White holds degrees in law and psychology and prior to joining the US SEC has worked for a law firm and then as a prosecutor.
It will submit the related form 25 to the US SEC on 11 June 2010.
The company expects that the termination of registration will become effective 90 days from its filing with US SEC, after which its shares will not be traded on the Over-the-Counter Bulletin Board under the symbol 'FRLLF'.
0 provides an automated migration path for users planning to use the US-GAAP 2011 taxonomy in preparing US SEC filings in XBRL.
M2 EQUITYBITES-March 1, 2016-Sunoco Logistics announces filing of Form 10-K with the US SEC
On September 18th, 2008, the US SEC revoked our trading symbol CLER due to our past US SEC filings not being current.
M2 EQUITYBITES-April 24, 2015-Ventas files Form 10 registration statement with US SEC for spin-off of its SNF potfolio
SEC3 services clients globally, but focuses mainly on US SEC registered companies.
M2 EQUITYBITES-December 24, 2014-Select Income REIT declares effectiveness of its registration statement by US SEC for acquisition of Cole Corporate Income Trust
M2 EQUITYBITES-June 7, 2013-First Security declares effectiveness of registration statement filed with US SEC for sale of 60.