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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


Wall Street Words: An A to Z Guide to Investment Terms for Today's Investor by David L. Scott. Copyright © 2003 by Houghton Mifflin Company. Published by Houghton Mifflin Company. All rights reserved. All rights reserved.

Securities and Exchange Commission (SEC).

The Securities and Exchange Commission (SEC) is an independent federal agency that oversees and regulates the securities industry in the United States and enforces securities laws.

The SEC requires registration of all securities that meet the criteria it sets, and of all individuals and firms who sell those securities. It's also a rule making body, with a mandate to turn the law into rules that the investment industry can follow.

Established by Congress in 1934, the SEC sets standards for disclosure by publicly traded corporations, and works to protect investors from misleading or fraudulent practices, including insider trading.

It has four divisions: Corporate Finance, Market Regulation, Investment Management, and Enforcement.

Dictionary of Financial Terms. Copyright © 2008 Lightbulb Press, Inc. All Rights Reserved.


See Securities and Exchange Commission.

The Complete Real Estate Encyclopedia by Denise L. Evans, JD & O. William Evans, JD. Copyright © 2007 by The McGraw-Hill Companies, Inc.
References in periodicals archive ?
Sec. 1.199-4(e), Treasury has increased the threshold for annual gross receipts to $100 million, or total assets at the end of the tax year of $10 million or less.
A modification that shortens the vesting period for exercise is not generally a material modification, although companies and service providers should be cautioned that if the grant is already treated as a deferral of compensation under Sec. 409A, such a change in the vesting schedule, if tied to a distribution event, could constitute an impermissible acceleration.
Sec. 1.381-10, X, Y and Z will each be deemed to have owned their six distributed shares from June 1, 2006 forward.
Sec. 24402(a) authorizes a deduction, but a deduction is not available if the underlying statute is void and ceases to operate.
Every culture has etiquette and procedures, and the SEC is no exception.
It was determined that the parent's payment was not a partnership item and that its status as a partner for Sec. 6231(a) (2) (B) purposes did not make it a partner for subchapter K purposes.
If an executor is appointed for the decedent's estate, the executor and trustee of the QRT jointly make the Sec. 645 election by filing Form 8855, Election to Treat a Qualified Revocable Trust as Part of an Estate [Treas.
Real property: For real property, an appraiser will be treated as having met the minimum education and experience requirements under Sec. 170(f) (11)(E)(ii)(I) if, for returns filed (1) before Oct.
Additionally, for purposes of IRC Sec. 1045, stock acquired under this provision also must be held for at least six months.
The TIPRA also added new Sec. 355(g), providing that Sec.
The Tax Court held that TLC, the PEO, is subject to the Sec. 274(n) limit, because it was the driver's common-law employer.