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 ?
NORDIC BUSINESS REPORT-September 4, 2019-Tele2 reports filing of Form 15F and deregisters with the US SEC
Global Banking News-September 4, 2019-Tele2 reports filing of Form 15F and deregisters with the US SEC
M2 EQUITYBITES-September 4, 2019-Tele2 reports filing of Form 15F and deregisters with the US SEC
The US SEC has issued a cease-anddesist order against ICO Rating, a site popular during the ICO boom for its analysis of upcoming offerings, claiming that the company violated Section 17(b) of the Securities Act.
US Sec of State Mike Pompeo speaking ath the GMF event in Brussels BRUSSELS, Dec 4 (KUNA) -- US Secretary of State Michael Pompeo Tuesday lashed out at Iran's policies which he said pose a threat to regional and global peace.
BANKING AND CREDIT NEWS-November 28, 2018-Paragon, US SEC reach settlement to resolve legal status of PRG tokens
The post US SEC charges Tesla CEO Elon Musk with fraud appeared first on TahawulTech.com.
As previously disclosed in the registration statement including a US prospectus relating to the shares of Altice USA common stock to be distributed in the Distribution filed by Altice USA with the US SEC one of the conditions to the implementation of the Distribution was the entry into a trademark license agreement between Next Alt and Altice USA.
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.
National Treasurer Rosalia de Leon said the US SEC usually reviews the registration of Philippine bonds.
Under the new deal, the terms of the agreement have been extended for an additional five years so as to expire on December 31, 2025, with three one-year renewal options granted to Nielsen, the TV rating company said in a regulatory filing to the US SEC.