SEC - some related terms:
Holding company
Trust Indenture Act of 1939
Investment company
Securities Act of 1933
Securities Exhange Act of 1934 ...
SEC Form 4: By far, one of the best sites I have used in the past on this topic. You can search by Company, Insider name, Purchases, Sales, Significant Purchases, Penny Stocks among others.
SEC staff are aware of a number of ongoing investment scams in which con artists have used the names of real SEC employees to trick victims, including non-U.S.
SEC stands for the Securities and Exchange Commission, a government body created by Congress to regulate the stock markets and protect investors. The SEC is composed of five commissioners appointed by the President and approved by the Senate.
The SEC is also accorded the enforcement authority to proceed with measures against companies or individuals who commit financial fraud, provide false and misleading information, commit insider trading or engage in other security law violations.
The SEC stands for the Securities and Exchange Commission. It represents the major entity that regulates the stock market and the participating companies. The latter are publicly traded and should abide by the rules set by the SEC.
Revamping the Handling of Complaints and Tips: In order to improve the handling of hundreds of thousands of complaints, tips, and referrals it receives each year, the SEC has contracted with Mitre, ...
SEC
The Securities and Exchange Commission, established by Congress to help protect investors.
SEC See Securities and Exchange Commission.
Second Pillar Term used to describe funding for financing retirement benefits as articulated by the World Bank.
SEC
Securities and Exchange Commission: A commission created by Congress to regulate the securities markets and protect ...
SEC Filing
SEC Filing In most cases, a company must make much of its financial data available to the public so that potential investors can be informed of the company's financial status.
SEC to seek Justice review in Madoff case: report (Reuters)
Reuters - The Securities and Exchange Commission's inspector general plans to ask the Justice Department to review whether an SEC lawyer violated conflict-of-interest laws while working ...
SEC Filing Requirements for Insider Trades
Trading of all stock is regulated by the Securities and Exchange Commission (SEC).
SEC Form 10-Q
A comprehensive report of a company's performance that must be submitted quarterly by all public companies to the Securities and Exchange Commission.
SEC Fee- This is an additional fee implemented by the Securities Exchange Act of 1934 for stock traders. They are paid to into the brokers’ account from where the sum is collected and remitted to the US treasury.
SEC Rule 15g-9, known as the Penny Stock Rules, is designed to prevent deceptive or manipulative practices.
SEC's EDGAR Filer Manual.
Effective Date
(USA) The date of the SEC order declaring the registration statement for a public offering to be effective, at which time the sale of shares to the public can commence.
SEC: Abbreviation for Securities and Exchange Commission. This refers to the regulatory board that supervises the stock markets and the companies being publicly traded. They make sure that everything is transparent and honest.
SEC rules to dictate how customers` securities may be used by broker-dealers in broker loans.
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[edit] SEC regulations
SEC regulation FD ("Fair Disclosure") requires that if a company intentionally discloses material non-public information to one person, it must simultaneously disclose that information to the public at large.
SEC Form 3 is really the first form that needs to be filled out by any newly appointed corporate insider because this form registers a person as an "insider.
SEC Definition on Penny Stocks: Although the meaning supplied by the Securities and Exchange Commission is open with respect to the trading of penny stocks, ...
SEC (Securities And Exchange Commission)
A federal agency created in 1934 by an act of Congress to regulate various aspects of the securities industry.
SEC Yield
A yield calculation developed by the SEC to standardize yield data for mutual funds, closed-end funds and ETFs.
SEC Filings
Form 3 MOTRICITY INC For: Aug 24 Filed by: CORDIAL STEPHEN C (10K)
Sep 01, 2011 09:50 PM
Form 4 PRIVATEBANCORP, INC For: Aug 31 Filed by: Hague Bruce R. (10K)
Sep 01, 2011 09:39 PM ...
SEC
The Securities and Exchange Commission. This is the governmental body charged with maintaining and regulating the financial markets in America.
secondary market ...
SEC
Pink Sheets.com
New: Post your questions or comments about this article! ...
SEC Chairman Christopher Cox in March 2008 gave a speech entitled the "'Naked' Short Selling Anti-Fraud Rule", in which he announced new SEC efforts to combat naked short selling.
SEC reviews the disclosure statement to be sure it's complete.
Creditors (and sometimes the stockholders) vote on the plan.
Court confirms the plan, and ...
SEC term for traders who trade (buy and sell) more than 4 times a day in any given stock over a period of 5 days and for whom the same-day trades makes up of more than 6% of their activity for that period.
Penny Stock ...
SEC-imposed restrictions on when a short sale may be executed, intended to prevent investors from destabilizing the price of a stock when the market price is falling.
SEC EDGAR
The Securities & Exchange Commission uses Electronic Data Gathering and Retrieval to transmit company documents to investors.
SEC: The Securities and Exchange Commission, the primary federal regulatory agency of the securities industry.
A SEC filing required for companies wishing to issue equity to their employees.
Investopedia Says:
Similar to filing a prospectus, the S-8 outlines the details of an internal issuing of stock or options to employees.
English▼ ...
An SEC index of foreign companies whose securities are being offered for public sale in the United States in possible violation of registration requirements.
The SEC and Department of Justice look into possible corrupt practices in Macau.
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The SEC has put a barrier in place to protect investors which requires investors to maintain a minimum balance in their accounts if they plan on making at least 4 round trip day trades in a 5 day period.
Die SEC (Securities and Exchange Commission) ist die 1934 durch Bundesgesetz gegründete Wertpapier- und Börsenaufsichtsbehörde in den USA.
The SEC defines an insider to be a officer or director of the firm or a major stockholder (holding more than 5% of the outstanding stock in the firm).
The SEC plans to require all companies to comply with basic guidelines of good writing by the end of the year.
Due to SEC (Securities and Exchange Commission) regulations, hedge funds are often a "hush hush" topic and Sykes wants to break the silence and bring back "honesty to the stock market.
Unlike the SEC'S whistleblower rules, the CFTC's rules do not include a reward for persons who through their own research of public sources provide the CFTC with an independent analysis revealing a likely violation of the CEA.
Definition
SEC
The SEC is an independent U.S. Government agency established by Congress in 1934 to police and regulate the securities industry.
RELATED TERMS ...
Market Center
SEC Rule 11Ac1-5 to include any exchange market maker, OTC market maker, alternative trading system, national securities exchange, or national securities association. However, market center does not include any of the option exchanges.
SEC rule allowing qualified institutional buyers to buy and trade unregistered securities.
Rule 405
NYSE codification of "know your customer" rules, which require that a customer's situation is suitable for any investment being made.
STOP ORDER. An SEC order suspending effectiveness of an issue's registration and preventing the issue from being sold, due to deficiencies being present in the registration statement.
Rule 144
The SEC rule that governs the sale of control and restricted securities.
Rules of Fair Practice
FINRA rules which govern the dealings of member firms with the public.
Plus-Tick Rule - SEC rule that states that no short sale may be made when the last trade on the security was a minus tick.
Point - A price movement of one full increment. For example, a stock rises one point when its price goes from 23 to 24.
Up-Tick Rule
An SEC rule prohibiting short sale when the last trade on the security was a minus tick.
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RULE 10b-5 - An SEC rule under the Securities Exchange Act of 1934 that makes it unlawful for any person, in connection with the purchase or sale of any security, to employ any device, scheme, or artifice to defraud; ...
PMI PMSR PPI Prenote PSE PSS PUD PVP QFC QOMC QT QTI QTL RAC RALA RAM RAP RCMM RCPC RDFI REAS REFCORP REIT REMIC REO REOMS REPO RFAC RFC RICO ROE ROI RP RR RRM RTC RTCCA RTCRRIA RTGS RUF SAIF Sallie Mae SAM SAMA SAMDA SBA SBIC SCOREX SDR's SEA SEC ...
s prospectus with the SEC and before... waiver An intentional relinquishment of some right, interest, or the like. waiver of premium An insurance policy clause that permits a policyholder to discontinue payment...
Federally related institutionsArms of the federal government that arc exempt from SEC registration and whose securities are backed by the full faith and credit of the U.S. government (with the exception of the Tennessee Valley Authority).
z # 10K An audited report of a corporation's year-end financial results and operations filed annually with the SEC. 12b-1 Fee A mutual fund expense such as advertising, public relations and distribution costs that are paid by shareholders.
25% of average daily fund assets each year to cover the costs of selling and marketing shares, an arrangement allowed by the SEC's 12b-I (passed in 1980).
Press release, news and SEC filings are the most important aspect of determining the fundamental
fitness of a company. Be sure to recognize the difference between press releases from the company, ...
A proposal that would force the SEC to give shareholders a greater voice in selecting board members was defeated in October 2004. Commissioner Harvey J.
Howey test: The test established in the 1946 case of SEC v. W.J. Howey Co. to determine what an investment contract is.
Restricted stockowners need permission of the SEC to sell.
There is a waiting period after a company first goes public where insiders' restricted stock is frozen.
Over the counter stocks are very risky stocks as well because there is no controlling body or organization such as the SEC to oversee the securities industry.
 See also: Market, Investment, Stock, Quote, Fundamental
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