Securities And Exchange Commission - SEC
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Definition of 'Securities And Exchange Commission - SEC'A government commission created by Congress to regulate the securities markets and protect investors. In addition to regulation and protection, it also monitors the corporate takeovers in the U.S. The SEC is composed of five commissioners appointed by the U.S. President and approved by the Senate. The statutes administered by the SEC are designed to promote full public disclosure and to protect the investing public against fraudulent and manipulative practices in the securities markets. Generally, most issues of securities offered in interstate commerce, through the mail or on the internet must be registered with the SEC. |
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Investopedia explains 'Securities And Exchange Commission - SEC'Here's an example of an activity that falls within the SEC's domain: if someone purchases more than 5% of a company's equity, he or she must report to the SEC within 10 days of the purchase because of the takeover threats it may cause. |
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Articles Of Interest
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The SEC: A Brief History Of Regulation
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Reg AC: What Does It Mean To Investors?
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Policing The Securities Market: An Overview Of The SEC
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Where can I find a company's annual report and its SEC filings?
Thanks to the Internet, finding financial reports is easier than ever. Nowadays, every reputable company has an investor relations section on its website that is a wealth of information. Walt ... -
What happens to the fines collected by the Securities and Exchange Commission?
When the Securities and Exchange Commission (SEC) enforces a civil action against a corporation or an individual found guilty of violating SEC regulations, there's a good chance that some sort ... -
Who's Looking Out For Investors?
If your account has been mishandled, FINRA and the SEC are among several organizations that can help. -
War's Influence On Wall Street
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Top 4 Most Scandalous Insider Trading Debacles
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Handcuffs And Smoking Guns: The Criminal Elements Of Wall Street
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A Look At Primary And Secondary Markets
Knowing how the primary and secondary markets work is key to understanding how stocks trade.
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