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Encyclopedia > Securities Exchange Commission
For other uses of "SEC", see SEC (disambiguation)

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 Advisors Act. It removed regulatory authority from the Federal Trade Commission.


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.


President Franklin Delano 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.

Contents
1 Related legislation
2 Forms
3 Chairmen
4 See also
5 External links

5.1 Articles

Related legislation

Forms

See SEC Forms List by category (http://www.sec.gov/about/forms/secforms.htm)

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

Chairmen

See also

External links

Articles

  • About.com: Understanding the Securities Exchange Commission (http://mutualfunds.about.com/cs/tradeassociations/a/sec.htm)

  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 »


 

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