U.S. Securities and Exchange Commission

Securities and Exchange CommissionSECUnited States Securities and Exchange CommissionSecurities Exchange CommissionUS Securities and Exchange CommissionSecurity and Exchange CommissionSecurities & Exchange CommissionSecurities and Exchange Commission (SEC)U.S. Securities and Exchange Commission (SEC)U.S. SEC
The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government.wikipedia
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Trust Indenture Act of 1939

trust indentureSecurities And Trust Indentures
In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes.
The TIA is administered by the US Securities and Exchange Commission (SEC), which has made various regulations under the act.

Securities Exchange Act of 1934

Securities Exchange ActSecurities and Exchange ActSecurities and Exchange Act of 1934
In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes.
The 1934 Act also established the Securities and Exchange Commission (SEC), the agency primarily responsible for enforcement of United States federal securities law.

Investment Company Act of 1940

Investment Company Act1940 Act1940 Act fund
In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes.
Along with the Securities Exchange Act of 1934 and Investment Advisers Act of 1940, and extensive rules issued by the Securities and Exchange Commission, it forms the backbone of United States financial regulation.

Sarbanes–Oxley Act

Sarbanes-Oxley ActSarbanes-OxleySarbanes-Oxley Act of 2002
In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes.
The sections of the bill cover responsibilities of a public corporation's board of directors, add criminal penalties for certain misconduct, and require the Securities and Exchange Commission to create regulations to define how public corporations are to comply with the law.

Securities Act of 1933

Section 11Federal Securities ActSecurities Act
In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes.
Legislated pursuant to the Interstate Commerce Clause of the Constitution, it requires every offer or sale of securities that uses the means and instrumentalities of interstate commerce to be registered with the SEC pursuant to the 1933 Act, unless an exemption from registration exists under the law.

EDGAR

EDGAR filing system
In an attempt to level the playing field for all investors, the SEC maintains an online database called EDGAR (the Electronic Data Gathering, Analysis, and Retrieval system) online from which investors can access this and other information filed with the agency.
EDGAR, the Electronic Data Gathering, Analysis, and Retrieval system, performs automated collection, validation, indexing, acceptance, and forwarding of submissions by companies and others who are required by law to file forms with the U.S. Securities and Exchange Commission (the "SEC").

Investment Advisers Act of 1940

Investment Advisers ActInvestment Advisors ActInvestment Advisors Act of 1940
In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes.
It is the primary source of regulation of investment advisers and is administered by the U.S. Securities and Exchange Commission.

Franklin D. Roosevelt

Franklin Delano RooseveltFranklin RooseveltRoosevelt
Section 4 of the 1934 act created the U.S. Securities and Exchange Commission to enforce the federal securities laws; both laws are considered parts of Franklin D. Roosevelt's New Deal raft of legislation.
Major surviving programs and legislation implemented under Roosevelt include the Securities and Exchange Commission, the National Labor Relations Act, the Federal Deposit Insurance Corporation, Social Security, and the Fair Labor Standards Act of 1938, which, among other things, prohibited child labor and created the right to a minimum wage.

Joseph P. Kennedy Sr.

Joseph P. KennedyJoseph P. Kennedy, Sr.Joseph Kennedy
In 1934, Roosevelt named his friend Joseph P. Kennedy, a self-made multimillionaire financier and a leader among the Irish-American community, as the insider-as-chairman who knew Wall Street well enough to clean it up.
President Franklin D. Roosevelt appointed Kennedy to be the first chairman of the U.S. Securities and Exchange Commission (SEC), which he led from 1934 to 1935.

Abe Fortas

Fortas(Abe) FortasFortas, Abe
Kennedy added a number of intelligent young lawyers, including William O. Douglas and Abe Fortas, both of whom later became Supreme Court justices.
A native of Memphis, Tennessee, Fortas became a law professor at Yale University, and then an advisor for the U.S. Securities and Exchange Commission.

William O. Douglas

DouglasJustice DouglasJustice William Douglas
Kennedy added a number of intelligent young lawyers, including William O. Douglas and Abe Fortas, both of whom later became Supreme Court justices. Later SEC commissioners and chairmen include William O. Douglas, Jerome Frank (one of the leaders of the legal realism movement), and William J. Casey (who later headed the Central Intelligence Agency under President Ronald Reagan).
After serving as the third chairman of the U.S. Securities and Exchange Commission, Douglas was successfully nominated to the Supreme Court, succeeding Justice Louis Brandeis.

Capital market

capital marketssecurities marketsecurities markets
Its goal was to increase public trust in the capital markets by requiring uniform disclosure of information about public securities offerings.
Financial regulators like Securities and Exchange Board of India (SEBI), Bank of England (BoE) and the U.S. Securities and Exchange Commission (SEC) oversee capital markets to protect investors against fraud, among other duties.

New Deal

The New DealHundred Days Congressfirst hundred days
Section 4 of the 1934 act created the U.S. Securities and Exchange Commission to enforce the federal securities laws; both laws are considered parts of Franklin D. Roosevelt's New Deal raft of legislation.
The largest programs still in existence today are the Social Security System and the Securities and Exchange Commission (SEC).

Jerome Frank

Jerome New Frank
Later SEC commissioners and chairmen include William O. Douglas, Jerome Frank (one of the leaders of the legal realism movement), and William J. Casey (who later headed the Central Intelligence Agency under President Ronald Reagan).
He was Chairman of the Securities and Exchange Commission, and a United States Circuit Judge of the United States Court of Appeals for the Second Circuit.

Self-regulatory organization

self-regulationself-regulatoryself-regulated
Entities under the SEC's authority include securities exchanges with physical trading floors such as the New York Stock Exchange (NYSE), self-regulatory organizations (SROs) such as the National Association of Securities Dealers (NASD), the Municipal Securities Rulemaking Board (MSRB), online trading platforms such as the NASDAQ Stock Market (NASDAQ) and alternative trading systems (ATSs), and any other persons (e.g., securities brokers) engaged in transactions for the accounts of others.
The principal federal regulatory authority—the Securities and Exchange Commission (SEC)—was established by the Federal Securities Exchange Act of 1934.

Jay Clayton (attorney)

Jay Clayton
Walter Joseph "Jay" Clayton III (born July 11, 1966) is an American attorney and Chairman of the U.S. Securities and Exchange Commission.

Hester Peirce

Peirce currently serves as a Commissioner on the Securities and Exchange Commission (SEC).

Annual report

annual reportsannualannual accounts
To achieve its mandate, the SEC enforces the statutory requirement that public companies and other regulated companies submit quarterly and annual reports, as well as other periodic reports.
In the United States, a more-detailed version of the report, called a Form 10-K, is submitted to the U.S. Securities and Exchange Commission.

New York Stock Exchange

NYSENew YorkThe New York Stock Exchange
Entities under the SEC's authority include securities exchanges with physical trading floors such as the New York Stock Exchange (NYSE), self-regulatory organizations (SROs) such as the National Association of Securities Dealers (NASD), the Municipal Securities Rulemaking Board (MSRB), online trading platforms such as the NASDAQ Stock Market (NASDAQ) and alternative trading systems (ATSs), and any other persons (e.g., securities brokers) engaged in transactions for the accounts of others.
On October 1, 1934, the exchange was registered as a national securities exchange with the U.S. Securities and Exchange Commission, with a president and a thirty-three-member board.

Financial Industry Regulatory Authority

FINRANational Association of Securities DealersNASD
Entities under the SEC's authority include securities exchanges with physical trading floors such as the New York Stock Exchange (NYSE), self-regulatory organizations (SROs) such as the National Association of Securities Dealers (NASD), the Municipal Securities Rulemaking Board (MSRB), online trading platforms such as the NASDAQ Stock Market (NASDAQ) and alternative trading systems (ATSs), and any other persons (e.g., securities brokers) engaged in transactions for the accounts of others.
The government agency which acts as the ultimate regulator of the securities industry, including FINRA, is the Securities and Exchange Commission.

Robert Khuzami

Robert S. Khuzami
The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.
He previously was a United States federal prosecutor and Assistant United States Attorney for the office, and a former director of the Division of Enforcement of the U.S. Securities and Exchange Commission.

Municipal Securities Rulemaking Board

Municipal Securities Rulemaking Board (MSRB)
Entities under the SEC's authority include securities exchanges with physical trading floors such as the New York Stock Exchange (NYSE), self-regulatory organizations (SROs) such as the National Association of Securities Dealers (NASD), the Municipal Securities Rulemaking Board (MSRB), online trading platforms such as the NASDAQ Stock Market (NASDAQ) and alternative trading systems (ATSs), and any other persons (e.g., securities brokers) engaged in transactions for the accounts of others.
Like the Financial Industry Regulatory Authority (FINRA), the MSRB is a self-regulatory organization that is subject to oversight by the Securities and Exchange Commission (SEC).

Public Company Accounting Oversight Board

PCAOB
All PCAOB rules and standards must be approved by the U.S. Securities and Exchange Commission (SEC).

Blue sky law

Blue Sky Lawsblue-sky lawblue-sky laws
Prior to the enactment of the federal securities laws and the creation of the SEC, there existed so-called blue sky laws.
Much of the duplication, especially with regards to registration of securities and the regulation of brokers and advisors, was largely preempted by the Securities and Exchange Commission with the National Securities Markets Improvement Act of 1996 (NSMIA).

Alternative trading system

Entities under the SEC's authority include securities exchanges with physical trading floors such as the New York Stock Exchange (NYSE), self-regulatory organizations (SROs) such as the National Association of Securities Dealers (NASD), the Municipal Securities Rulemaking Board (MSRB), online trading platforms such as the NASDAQ Stock Market (NASDAQ) and alternative trading systems (ATSs), and any other persons (e.g., securities brokers) engaged in transactions for the accounts of others.
An ATS must be approved by the United States Securities and Exchange Commission (SEC) and is an alternative to a traditional stock exchange.