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 ?
Aurinia has also filed a prospectus supplement with securities regulatory authorities in Canada in the provinces of British Columbia, Alberta and Ontario, and with the United States SEC, which supplements Aurinia's short form base shelf prospectus dated March 26, 2018, and Aurinia's shelf registration statement on Form F-10 dated March 26, 2018, declared effective on March 29, 2018.
However, it is claimed the stocks were not generated by any technical analysis and were in fact those companies were paying the brothers to promote, according to the United States SEC, which brought the civil action.
Now, Microsoft's loyal smartphone partner Nokia in its recent (http://phx.corporate-ir.net/phoenix.zhtml?c=229711&p=irol-SECText&TEXT=aHR0cDovL2FwaS50ZW5rd2l6YXJkLmNvbS9maWxpbmcueG1sP2lwYWdlPTg3ODAxODUmRFNFUT0wJlNFUT0wJlNRREVTQz1TRUNUSU9OX0VOVElSRSZzdWJzaWQ9NTc%3d#tx484054_10) filing to United States SEC (Security & Exchange Commission), has expressed fears about the possibility of smartphone coming out from the Redmond-based company, as it could affect its future smartphone business.
No one yet seems to know what these licences will cost, however, a "Draft S-4" document filed with the United States SEC (Securities Exchange Commission) shows that profits of one part of the NYSE known as "The Big Board" are expected to rise from $40m a year currently to $195m by 2007.

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