Securities and Exchange Commission
A Dictionary of Business and Management
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2006
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© A Dictionary of Business and Management 2006, originally published by Oxford University Press 2006. (Hide copyright information)
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Securities and Exchange Commission (SEC) A US government agency established in 1934 to protect investors by regulating behaviour in the securities markets. Each year the SEC brings between 400–500 civil enforcement actions against individuals and companies that break the securities laws. The SEC is also responsible for monitoring and controlling corporate financial reporting and auditing practices.
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SECURITIES AND EXCHANGE COMMISSIONS NOMINATIONS:MS. CYNTHIA A. GLASSMAN
Transcript from: Congressional Testimony; 7/23/2002; 700+ words
; ...Commissioner-Designate Securities and Exchange Commission Committee on Senate Banking...Pending Nominations to the Securities and Exchange Commission July...serve as a member of the Securities and Exchange Commission...
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SECURITIES AND EXCHANGE COMMISSIONS NOMINATIONS:MR. PAUL S. ATKINS
Transcript from: Congressional Testimony; 7/18/2002; 700+ words
; ...Commissioner-Designate Securities and Exchange Commission Committee on Senate Banking...Pending Nominations to the Securities and Exchange Commission Mr...have always regarded the Securities and Exchange Commission as...
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SECURITIES AND EXCHANGE COMMISSIONS NOMINATIONS:MR. ROEL C. CAMPOS
Transcript from: Congressional Testimony; 7/23/2002; 700+ words
; ...Commissioner-Designate Securities and Exchange Commission Committee on Senate...Nominations to the Securities and Exchange Commission...my country on the Securities and Exchange Commission...savings, social security and pension benefits...
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SECURITIES AND EXCHANGE COMMISSIONS NOMINATIONS:MR. HARVEY JEROME GOLDSCHMID
Transcript from: Congressional Testimony; 7/18/2002; 663 words
; ...Commissioner-Designate Securities and Exchange Commission Committee on Senate...Nominations to the Securities and Exchange Commission...nominated to serve on the Securities and Exchange Commission...because of social security and their investments...
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SEC Clarification on Soft Dollars Said to Level Playing Field: Independent research more on par with bulge-bracket firms.(Securities and Exchange Commissions)
Magazine article from: Securities Industry News; 8/7/2006; ; 700+ words
; The Securities and Exchange CommissionOs...soft-dollar commissions will put independent...unambiguously all commission-paid research...soft-dollar commissions. OThat means...since 1975. The commission had issued three...
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SEC Offers Clues About Reg NMS Progress.(Securities and Exchange Commissions)(National Market System )
Magazine article from: Securities Industry News; 5/24/2004; ; 700+ words
; ...Annette Nazareth, Securities and Exchange Commissions director for market...remarks before the Securities Industry Associations...noting that floor exchanges are willing to answer...variation on the Commissions proposal and one...whether, if the Commission were to adopt an...
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SEC muni bond program vindicated by Ferber verdict, regulators say.(Securities and Exchange Commissions municipal bond trading enforcement program; Mark S. Ferber)
Magazine article from: The Bond Buyer; 8/12/1996; ; 700+ words
; ...provides "vindication" of the Securities and Exchange Commission's municipal enforcement...for the concerns that the commission has voiced over the past...they violated the Municipal Securities Rulemaking Board's Rule...
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 "The Economist (US)")
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America v the world: accounting standards. (the Securities and Exchange Commissions is expected to veto a global set of financial accounting standards created by the International Accounting Standards Committee)
Magazine article from: The Economist (US); 1/17/1998; 700+ words
; ...organisation bringing together securities regulators from around the...is centred on America's Securities and Exchange Commission (SEC), which must appoint...list their shares on American exchanges. The main reason firms in...
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Naked Short Positions Still Under SEC Scrutiny.(Securities and Exchange Commissions decision about short selling)
Magazine article from: Traders; 5/1/2007; ; 700+ words
; ...positions in certain so-called threshold securities indefinitely? The Securities and Exchange Commission still hasn't made up its mind. It...rescind the exception for certain threshold securities, according to one big market maker...
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In Brief.(Securities and Exchange Commissions Advisory Committee on Improvements to Financial Reporting releases its progress report)(Ernst & Young L.L.P. partners Robert Coplan, Martin Nissenbaum, Richard Shapiro and Brian Vaughn, charged with tax fraud)
Magazine article from: Accounting Today; 3/17/2008; 700+ words
; ADVISORY COMMITTEE ISSUES PROGRESS REPORT Washington, D.C. The Securities and Exchange Commissions Advisory Committee on Improvements to Financial Reporting has released a progress report on its work to date. The key themes include...
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Securities and Exchange Commission
Encyclopedia entry from: Encyclopedia of Business and Finance, 2nd ed.
...SECURITIES AND EXCHANGE COMMISSION The U.S. Securities and Exchange Commission...decisions. The Securities Exchange Act of 1934...regulate the stock exchanges and the trading...working in the security business. The...
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Security and Exchange Commission
Book article from: A Dictionary of the Internet
Security and Exchange Commission A US government agency responsible for administering federal security law. Increasingly it has concerned itself with crime on the Internet. It is often abbreviated to SEC.
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SIC 6231 Securities and Commodities Exchanges
Encyclopedia entry from: Encyclopedia of American Industries
...and licensed by the commission. The Commodity Exchange Commission was originally established by the Security Exchange Act of 1922 to supervise commodity exchange, but the commission...stock and commodities exchanges are governed by a board...
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Exchange
Encyclopedia entry from: West's Encyclopedia of American Law
...futures. A security is a written...due. Stock Exchanges The New York Stock Exchange (NYSE...American Stock Exchange are located...busiest hub of securities trading in...regional exchanges: the Pacific...exchange commission, which was...futures trading commission, ...
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Commodity Futures Trading Commission
Encyclopedia entry from: West's Encyclopedia of American Law
...FUTURES TRADING COMMISSION The Commodity Futures...U.S. futures exchanges, which offer numerous...thousand commodity exchange members, 360 public...operate and monitors exchange enforcement of...government and mortgage securities. Contract diversification has grown in exchange ...
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