FACTOID # 7: The top five best educated states are all in the Northeast.
 
 Home   Encyclopedia   Statistics   States A-Z   Flags   Maps   FAQ   About 
   
 
WHAT'S NEW
 

SEARCH ALL

FACTS & STATISTICS    Advanced view

Search encyclopedia, statistics and forums:

 

 

(* = Graphable)

 

 


Encyclopedia > Securities and Exchange Commission

The Securities and Exchange Commission, commonly referred to as the SEC, is the United States governing body which has primary responsibility for overseeing the regulation of the securities industry. It 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. It removed regulatory authority from the Federal Trade Commission. A security is a type of transferrable interest representing financial value. ... The Securities Act of 1933 has two basic objectives: require that investors receive financial and other significant information concerning securities being offered for public sale; and prohibit deceit, misrepresentations, and other fraud in the sale of securities. ... The Securities Exchange Act of 1934 was a sweeping piece of legislation in the United States regulating the participants in the financial markets. ... Trust Indenture Act of 1939 www. ... The Investment Company Act of 1940 is an Act of Congress. ... FTC headquarters, Washington, DC The Federal Trade Commission (FTC) is an Independent Agency of the United States Government, established in 1914. ...


The SEC has five Commissioners who are appointed by the President of the United States with the advice and consent of the Senate. Their terms last five years and are staggered so that one Commissioner's term ends on June 5 of each year. To ensure that the SEC remains non-partisan, no more than three Commissioners may belong to the same political party. The President also designates one of the Commissioners as Chairman, the SEC's top executive. The President of the United States (often abbreviated POTUS) is the head of state of the United States. ... Seal of the Senate The United States Senate is one of the two houses of the Congress of the United States, the other being the House of Representatives. ... June 5 is the 156th day of the year in the Gregorian calendar (157th in leap years), with 209 days remaining. ...


President Franklin D. Roosevelt appointed Joseph P. Kennedy, Sr, father of future President John F. Kennedy, to serve as the first Chairman of the SEC. For a list of other appointees, see: Securities and Exchange Commission appointees. Franklin Delano Roosevelt (January 30, 1882–April 12, 1945), 32nd President of the United States (1933-1945), the longest-serving holder of the office and the only man to be elected President more than twice, was one of the central figures of 20th century history. ... Joseph Joe Patrick Kennedy, Sr. ... JFK redirects here. ... Members of the Securities and Exchange Commission are appointed by the President of the United States: Under Franklin D. Roosevelt: Joseph P. Kennedy, Sr. ...

Contents


Related legislation

  • 1964 - Securities Act Amendments PL 88-467
  • 1968 - Securities Disclosure Act PL 90-439
  • 1975 - Securities and Exchange Act PL 94-29
  • 1980 - Depository Institutions and Deregulation Money Control Act PL 96-221
  • 1982 - Garn-St. Germain Depository Institutions Act PL 97-320
  • 1984 - Insider Trading Sanctions Act PL 98-376
  • 1988 - Insider Trading and Securities Fraud Enforcement Act PL 100-704
  • 1989 - Financial Institutions Reform, Recovery, and Enforcement PL 101-73
  • 1999 - Gramm-Leach-Bliley Act PL 106-102
  • 2002 - Sarbanes-Oxley Act

1964 was a leap year starting on Wednesday (link will take you to calendar). ... 1968 was a leap year starting on Monday (the link is to a full 1968 calendar). ... 1975 was a common year starting on Wednesday (the link is to a full 1975 calendar). ... 1980 is a leap year starting on Tuesday. ... 1982 is a common year starting on Friday of the Gregorian calendar. ... 1984 is a leap year starting on Sunday of the Gregorian calendar. ... 1988 is a leap year starting on a Friday of the Gregorian calendar. ... 1989 is a common year starting on Sunday of the Gregorian calendar. ... 1999 is a common year starting on Friday Anno Domini (or the Current Era), and was designated the International Year of Older Persons by the United Nations. ... The Gramm-Leach-Bliley Financial Services Modernization Act of 1999 repealed the Glass-Steagall Act opening up competition among banks, securities companies and insurance companies. ... 2002 is a common year starting on Tuesday of the Gregorian calendar. ... Before the signing ceremony of the Sarbanes-Oxley Act, President George W. Bush meets with Senator Paul Sarbanes, Secretary of Labor Elaine Chao and other dignitaries in the Blue Room at the White House July 30, 2002. ...

Forms

See SEC Forms List by category

  • SEC Form 4 (stock and stock options ownership and exercise disclosure)
  • SEC Form S-1 (IPO)

The prospectus (form S-1) contains the basic business and financial information on an issuer with respect to a specific securities offering. ...

See also

Financial supervision is government supervision of financial institutions by regulators. ... Regulation D is a regulation of the Securities and Exchange Commission of the United States, and is also a term for an investment strategy, mostly associated with hedge funds, based upon that regulation. ...

External links

Articles

XBRL


  Results from FactBites:
 
United States Securities and Exchange Commission - Wikipedia, the free encyclopedia (2029 words)
The United States Securities and Exchange Commission (commonly known as the SEC) is a United States government agency having primary responsibility for enforcing the Federal securities laws and regulating the securities industry.
Headquartered in Washington, D.C., the SEC consists of five Commissioners appointed by the President of the United States with the advice and consent of the Senate.
The Securities Exchange Act of 1934 transferred this responsibility from FTC to the SEC.
Securities and Exchange Commission of Pakistan - Wikipedia, the free encyclopedia (420 words)
The Securities and Exchange Commission of Pakistan SECP is an acronym for the Security and Exchanges Commission of Pakistan.
The Securities and Exchange Commission of Pakistan was created to succeed the Corporate Law Authority, which was an attached Department of Ministry of Finance.
A Securities and Exchange Commission of Pakistan Act was passed by the parliament and promulgated in December 1997.
  More results at FactBites »

 
 

COMMENTARY     


Share your thoughts, questions and commentary here
Your name
Your comments

Want to know more?
Search encyclopedia, statistics and forums:

 


Press Releases |  Feeds | Contact
The Wikipedia article included on this page is licensed under the GFDL.
Images may be subject to relevant owners' copyright.
All other elements are (c) copyright NationMaster.com 2003-5. All Rights Reserved.
Usage implies agreement with terms, 1022, m