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Securities and exchange commission

• A federal government agency comprised of five commissioners appointed by the President and approved by the Senate. The SEC was established to protect the individual investor from fraud and malpractice in the marketplace. The Commission oversees and regulates the activities of registered investment advisers, stock and bond markets, broker/dealers, and mutual funds.

• The federal regulatory body that governs the sale and listing of securities in the United States. In Canada, securities regulation is a provincial responsibility.

• Abbreviated SEC. Commission created by Congress to regulate the securities markets and protect investors. It is composed of five commissioners appointed by the president of the United States and approved by the Senate. The SEC enforces, among other acts, the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. The statutes administered by the SEC are designed to promote full public disclosure and protect the investing public against fraudulent and manipulative practices in the securities markets. Generally, most issues of securities offered in interstate commerce or through the mails must be registered with the SEC.

• The SEC is a federal agency that regulates the U.S. financial markets.

 
 

Follow this link for all the terms related to exchangesecurities.

 
 Embedded terms in definition
 Agency
Bond
Commission
Exchange
Financial market
Indenture
Investment adviser
Investment company
Investor
Mutual funds
Mutual fund
Sale
Securities act of 1933
Securities exchange act of 1934
Securities
Sec
Stock
Trust indenture
U
 
 Related Terms
 
1035 exchange
American stock exchange
Asset backed securities
Bill of exchange
Book entry securities
Chicago mercantile exchange
Commission
Commission broker
Commission house
Commission run
Commodities exchange center
Contingent securities
Convertible securities hedge funds
Debt securities
Discount securities
Distressed securities
Exchange
Exchange controls
Exchange for physicals
Exchange of assets
Exchange of stock
Exchange offer
Exchange rate
Exchange rate mechanism
Exchange rate risk
Exchange rate risk capital budgeting
Exchange risk
Exchange traded fund
Exempt securities
Expectations theory of forward exchange rates
Federal agency securities
Fixed exchange rate
Floating exchange rate
Foreign exchange
Foreign exchange controls
Foreign exchange dealer
Foreign exchange fx risk
Foreign exchange manager
Foreign exchange rate
Foreign exchange risk
Foreign exchange swap
Forward exchange rate
Futures commission merchant
General securities registered representative license
Gold exchange standard
Government securities
Historical exchange rate
London international financial futures exchange
Manufactured housing securities
Market premium convertible securities
Marketable securities
Membership or a seat on the exchange
Mortgage backed securities
Mortgage backed securities clearing corporation
Mortgage backed securities hedge funds
Mortgage pass through securities
National association of securities dealers automated quotation system
National association of securities dealers, inc.
New york stock exchange
Nominal exchange rate
Organized exchange
Organized securities exchanges
Pass through securities
Philadelphia stock exchange
Project loan securities
Public securities administration
Ratio of exchange
Ratio of exchange in market price
Real exchange rates
Registered general securities person
Registered securities principal
Securities
Securities act of 1933
Securities analysts
Securities and exchange commission sec
Securities exchange act of 1934
Securities exchanges
Securities investor protection corporation
Securities registration
Simex singapore international monetary exchange
Spot exchange rate
Stock exchange
Stripped mortgage backed securities
Stripped mortgage backed securities smbss
The exchange
Treasury securities

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