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Encyclopedia > U.S. Securities and Exchange Commission

The U.S. 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 Advisors Act of 1940. It removed regulatory authority from the Federal Trade Commission. 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. ... Also identified as Title 15, Chapter 2D of the United States Code, this Act was created to regulate the actions of Investment Advisors as defined by the text of the bill. ... FTC headquarters, Washington, D.C. 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 United States 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 chambers 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 person to be elected President more than twice (he was elected four times, and served just over 12 years), was one of the... Joseph Joe Patrick Kennedy, Sr. ... John Fitzgerald Kennedy (May 29, 1917 – November 22, 1963), often referred to as Jack Kennedy or JFK, was the 35th President of the United States (1961–1963). ... Members of the Securities and Exchange Commission are appointed by the President of the United States: Under Franklin D. Roosevelt: Joseph P. Kennedy, Sr. ...


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

da beast of da east we gonna hold it down 1964 was a leap year starting on Wednesday (link will take you to calendar). ... 1968 (MCMLXVIII) was a leap year starting on Monday (the link is to a full 1968 calendar). ... 1975 (MCMLXXV) was a common year starting on Wednesday (the link is to a full 1975 calendar). ... 1980 (MCMLXXX) is a leap year starting on Tuesday. ... 1982 (MCMLXXXII) is a common year starting on Friday of the Gregorian calendar. ... This page is about the year 1984. ... 1988 (MCMLXXXVIII) is a leap year starting on a Friday of the Gregorian calendar. ... 1989 (MCMLXXXIX) is a common year starting on Sunday of the Gregorian calendar. ... 1999 (MCMXCIX) is a common year starting on Friday, 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(MMII) 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. ...


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




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