A federal agency that regulates the United States financial markets and, among other things, promotes full disclosure and protection of the investing public against misrepresentation in the securities markets.

Securities and Exchange Commission (SEC): A government agency responsible for the supervision and regulation of the securities industry.

A government body that regulates the sale and registration of securities. The SEC protects investors and the general public against fraud and malpractice in financial markets.

An agency created by Congress to provide laws for the protection of investors in security transactions.

The federal agency that administers United States securities laws, created to help protect the rights of investors.

(USA) The primary USA federal regulatory agency fo... Add a comment

An agency empowered to issue regulations and to enforce provisions of the federal securities laws and its own regulations, including regulations governing the disclosure of information in connection with securities being offered for sale to the public. The SEC is also responsible for regulating the trading of these securities.

A federal agency created to administer federal securities laws. The SEC super- vises all the national securities exchanges and associations as well as all individuals and corporations operating in the investment field.

An agency of the federal government established in 1933 and responsible for the regulation of securities trading in the United States.

The primary federal regulatory agency that oversees federal securities laws, including the trading of public company securities, the firms that handle these transactions, and most professionals who provide investment advice. It is the SEC's responsibility to promote full disclosure and to protect investors.

( SEC) The primary overseer and regulator whose primary mission is to protect investors and maintain the integrity of the U.S. securities markets. The SEC requires public companies to disclose meaningful financial and other information to the public, which provides a common pool of knowledge for all investors to use to judge for themselves if a company's securities are a good investment. The SEC also oversees other key participants in the securities world, including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies. Here again, the SEC is concerned primarily with promoting disclosure of important information, enforcing the securities laws, and protecting investors who interact with these various organizations and individuals.

A board charged with regulating and protecting the investing public against fraudulent and manipulative practices in the public buying and selling of securities.

A federal agency which monitors the securities industry.

the federal agency that regulates the public issuance and trading of securities and is charged with assuring full and fair disclosure of information by companies with securities held by the public.

A federal agency that regulates the securities industry, enforces full disclosure, and engages in the prevention of fraud and other illegal practices.

Established under the Securities and Exchange Act B.E. 2535, it promotes and sets policies for capital market development. It oversees the activities of securities businesses in primary and secondary markets, corporate issuance, takeovers, and the prevention of unfair practices in securities trading.

A federal agency charged with administering the federal securities laws and providing federal oversight of the securities industry. The SEC enacts rules to implement the provisions of the federal securities laws. It also oversees the adoption of rules and administration of discipline by self-regulatory organizations.

Agency of the federal government responsible for monitoring and regulating the securities industry. Created in 1934 by an act of Congress, its purpose is to protect investor from malpractice in the securities industry and to promote full disclosure to the investing public.

The regulatory authority for the securities industry in the United States.

A commission established under the Securities and Exchange Act B.E. 2535, to establish capital market promotion and development policies, and oversee the activities of securities businesses in the primary and secondary markets, issuance of offering of company securities, takeovers, and the prevention of unfair practices in securities trading. The day-to-day operating body of the SEC is the Office of the Securities and Exchange Commission.

A federal government agency established by the Securities Exchange Act of 1934 to protect investors.

Official U.S. body which regulates the securities industry.

The Commission is the independent, quasi-judicial U.S. government agency responsible for protecting the public against malpractice in the securities and financial markets.

the primary US federal agency that regulates registration and distribution of securities, including mutual fund shares.

The US governmental agency that regulates the securities industry and is responsible for administration of US securities laws, including the 1933 Act and the 1934 Act.

The federal agency that administers U.S. securities laws; established under the Securities Exchange Act of 1934.

an independent federal agency that oversees the exchange of securities to protect investors

The Securities and Exchange Commission is a federal agency that has the responsibility of regulating the U.S. securities markets. Formed in 1934, the S.E.C., a federal agency, promotes full disclosure by companies of their actions and intentions to protect the public against malpractice.

The federal agency which regulates securities and the securities business. It is involved in real estate and mortgage lending when MBS are issued.

The statutory body that regulates the US securities industry.

Federal regulator of securities.

Independent agency charged with administering federal securities laws. Oversees mutual fund industry.

American federal agency created by the Securities Exchange Act of 1934 to administer the securities business on a national scale. In Canada, there is no national regulating body; however, securities laws are enforced by the provinces.

The regulatory body that oversees the activity of US securities markets and many of the participants in these markets. The SEC makes rules governing the markets and these participants, and also enforces the securities laws when they are broken.

The federal regulatory body for interstate securities transactions in the United States.

The primary federal regulatory agency of the securities industry that enforces securities laws and sets standards for disclosure about publicly traded securities, including mutual funds. It was created in 1934 and consists of five commissioners appointed by the president and confirmed by the senate to staggered terms.

A federal agency charged with protecting investors and maintaining the integrity of the securities markets.

Established by Congress to protect investors, the SEC requires all corporations issuing securities to make full disclosure of their financial condition.

Is a federal agency that regulates the securities markets. Congress created the commission in 1934 to regulate the securities market and protect investors. The SEC has 5 commissioners that are appointed by the President of the United States and approved by the Senate. The commissioners each serve a 5-year term.

A federal agency that regulates the sales of securities.

The federal agency created by the Securities and Exchange Act of 1934 that administers the laws governing U.S. securities markets. The SEC regulates the registration and distribution of investment fund shares in the U.S.

The federal agency, created by the Securities Exchange Act of 1934, charged with upholding and enforcing the Securities Act of 1933. The statutes which the SEC enforces are designed to promote full disclosure to the investor and create an atmosphere of fair trade.

An independent agency that administers federal securities laws and regulates the firms that buy and sell those securities.

Governmental regulatory body charged with the responsibility of overseeing and enforcing the law as it pertains to securities and investment related matters.

Program that protects investors from stock market problems like manipulation and fraud.

The Federal Government agency with authority to administer federal securities laws.

The organization that oversees publicly-held insurance companies. Those companies make periodic financial disclosures to the SEC, including an annual financial statement (or 10K), and a quarterly financial statement (or 10-Q). Companies must also disclose any material events and other information about their stock.

Agency authorized by the United States Congress to regulate the financial reporting practices of most public corporations.

The federal governmental agency that maintains order of the stock and securities exchanges.

The federal agency that supervises and oversees the issuance and exchange of public securities

the federal agency charged with ensuring that the US stock market is a free and open market. All companies with stock registered in the United States must comply with SEC rules and regulations, which include filing quarterly reports on how the company is doing. Created under the Securities Exchange Act of 1934. Also responsible for the regulation and supervision of Registered Investment Advisors (RIA).

The federal agency responsible for supervising and regulating the securities industry.  Generally, municipal securities are exempt from the SEC's registration and reporting requirements.  Broker-dealers in municipal securities, however, are subject to SEC regulation and oversight.  The SEC also has responsibility for the approval of MSRB rules and has jurisdiction, pursuant to SEC Rule 10b-5, over fraud in the sale of municipal securities.

Federal oversight and enforcement agency created in 1934 for the purpose of regulating trading in the stock, bond and mutual fund industries and their sales staff. The SEC is responsible for insuring that the securities markets operate honestly and fairly.

Federal agency created by the Securities Exchange Act of 1934 with the primary mission of protecting investors and maintaining the integrity of the securities markets. 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.

The U.S. government agency charged with protecting investors. On behalf of investors, the agency requires securities issuers to provide full and fair disclosure. The agency also investigates allegations of fraud.

The agency of the federal government that regulates mutual funds, registered investment advisers, the stock and bond markets, and broker-dealers. The SEC was established by the Securities Exchange Act of 1934.

A U.S. government agency responsible for, among other things, ensuring publicly held companies report financial information to stockholders regularly.

The federal agency with ultimate authority to determine the rules in preparing statements for companies whose stock is sold to the public.

The federal agency that regulates the registration and distribution of mutual funds.

Commission created by Congress to regulate the securities markets and protect investors.

The federal government agency that regulates mutual funds, registered investment advisers, the stock and bond markets, and securities broker-dealers.

The federal agency that regulates the sale of securities

The federal agency that regulates securities firms and broker-dealers.

Independent agency of the U.S. Government which administers securities transaction laws.

Federal agency that regulates U.S. financial markets, also known as SEC.

Statutory body responsible for the regulation of the securities industry and investor protection in the United States.

Federal agency that oversees the registration and distribution of company stock and mutual fund shares.

Government agency that regulates the buying and selling of stock.

The Securities and Exchange Commission, established by Congress to help protect investors. The SEC administers the Securities Act of 1933, the Securities Exchange Act of 1934, the Securities act Amendments of 1975, the Trust Indenture Act, the Investment Company Act, the Investment Advisers Act, and the Public Utility Holding Company Act.

Independent federal agency that governs the securities industry and enforces securities laws.

Federal agency created under the Securities Exchange Act of 1934 to regulate the securities industry. 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.

Federal agency responsible for regulating the securities markets as well as protecting investors.

U.S. government agency in charge of regulating mutual funds and other securities.

The primary U.S. government agency responsible for the regulation of the day-to-day operations and disclosure obligations of mutual funds, investment advisers, broker-dealers, and the securities markets.

A governing body that administers Federal securities laws under the 1933 Act and the 1934 Act.

Primary federal agency in the U.S. that regulates the securities industry.

The primary federal regulatory agency for the securities industry, whose responsibility is to promote full disclosure and to protect investors against fraudulent and manipulative practices in the securities markets.

Government body which ensures the propriety of securities market activities and the safety of investors, and oversees licensing activities on the securities market.

A federal agency created by the Securities Exchange Act of 1934 to administer the act and to help protect the interests of investors.

SEC - the government agency charged with regulating the stock market and securities trading

federal agency responsible for protecting investors in the sale of securities.

The primary federal agency responsible for administration and enforcement of U.S. securities laws. Among other matters, the SEC oversees disclosure requirements for various types of securities.

An independent, nonpartisan, quasi-judicial regulatory agency with responsibility for administering the federal securities laws. The purpose of these laws is to protect investors and to ensure that investors have access to disclosure of all material information concerning publicly traded securities. The Commission also regulates firms engaged in the purchase or sale of securities, people who provide investment advice, and investment companies.

an agency which tries to protect investors from wrong doing the sale of securities

The federal agency that regulates the United State’ securities markets and mutual funds.

Primary federal regulatory agency responsible for administering federal securities laws, promoting full disclosure and protecting investors against fraudulent and manipulative practices in the securities markets.

The government body responsible for regulating the financial reporting practices of most publicly owned corporations in connection with the buying and selling of stocks and bonds.

American federal agency created by the Securities Exchange Act of 1934 to administer that act and the Securities Act of 1933, formerly carried out by the Federal Trade Commission.

Regulator of the US securities industry.

this is the government regulatory body that oversees the U.S. securities markets.

SEC An independent agency of the U.S. government consisting of five members appointed by the President that administers comprehensive legislation governing the securities industry.

agency established by Congress to regulate stocks and bonds

In the United States, the federal agency that has oversight authority over the securities industry, including the governance of the sale of securities.

Federal agency created in 1934 to carry out the provisions of the Securities Exchange Act. Generally, the agency seeks to protect the investing public by preventing misrepresentation, fraud, manipulation and other abuses in the securities market.

US Also known as the SEC, this is the primary US government agency responsible for protecting investors and making sure that securities markets operate fairly and honestly. The SEC is also responsible for regulating the day-to-day operations and disclosure obligations of mutual funds and other securities.

The federal agency primarily responsible for regulating mutual fund and securities related activities. The SEC monitors compliance with the chief federal statute governing mutual funds: the Investment Company Act of 1940.

The US federal agency responsible for the enforcement of laws governing the securities industry.

The federal agency created by the Securities Exchange Act of 1934 to administer that act and the Securities Act of 1933. 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 government agency responsible for regulating and supervising the securities industry.

The primary US federal agency that regulates investment companies and public issuers.

The agency of the U.S. government that regulates the U.S. securities markets.

A federal agency created in 1934 by an act of Congress to regulate various aspects of the securities industry. The SEC is made up of five commissioners, each appointed by the President, with the advice and consent of the Senate, for a five-year term. In order to ensure the political independence of the commissioners, no more than three may be from the same political party at any one time. See: NASD; NYSE; MSRB; Securities Exchange Act Of 1933; Securities Exchange Act Of 1934

The federal agency that regulates activity in the securities markets, and protects the public against malpractice by broker-dealers.

Securities Exchange Act of 1934 Securities Industry Association

The Securities and Exchange Commission is the federal agency that regulates registration and distribution of mutual fund shares and other securities.

The Polish Securities and Exchange Commission, Polish: Komisja Papierów Wartościowych i Giełd, (KPWiG) is responsible for supervising compliance with regulations governing honest trade and competition in the public turnover of listed securities and other exchange commodities.