Finance 

EDGAR  United States Securities and Exchange Commission. 

For SEC filings in our subscriptions:  see the individual pages in this guide for Hoovers, Mergent, and LexisNexis Academic.

SECURITIES AND EXCHANGE COMMISSION (SEC)

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. The SEC is made up of five commissioners, appointed by the President of the United States on a rotating basis for five—year terms. The chairman is designated by the President and, to insure its independence, no more than three members of the commission may be of the same political party. The statutes administered by the SEC are designed to promote full public DISCLOSURE and protect the investing public against malpractice in the securities markets. All issues of securities offered in interstate commerce or through the mails must be registered with the SEC; all national securities exchanges and associations are under its supervision, as are INVESTMENT COMPANIES, investment counselors and advisers, OVER THE COUNTER brokers and dealers, and virtually all other individuals and firms operating in the investment field. In addition to the 1933 and 1934 securities acts, responsibilities of the SEC include the PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, the TRUST INDENTURE ACT OF 1939, the INVESTMENT COMPANY ACT OF 1940 and the INVESTMENT ADVISERS ACT of 1940. It also administers the SECURITIES ACTS AMENDMENTS OF 1975, which directed the SEC to facilitate the establishment of a NATIONAL MARKET SYSTEM and a nationwide system for clearance and settlement of transactions and established the Municipal Securities Rulemaking Board, a selfregulatory organization whose rules are subject to SEC approval. See also SECURITIES AND EXCHANGE COMMISSION RULES.

SECURITIES AND EXCHANGE COMMISSION (SEC). (2003). In Dictionary of Finance and Investment Terms, Barron's. Hauppauge, NY: Barron's Educational Series. Retrieved March 14, 2009, from Credo Reference - info

SEC EDGAR

Known simply as EDGAR, the electronic data gathering, analysis, and retreival system that performs automated collection, validation, indexing, acceptance, and forwarding of submissions by companies and others who are required by law to file forms with the Securities and Exchange Commission. SEC documents can be read or downloaded from the web site www.sec.gov.

SEC EDGAR. (2003). In Dictionary of Finance and Investment Terms, Barron's. Hauppauge, NY: Barron's Educational Series. Retrieved March 14, 2009, from Credo Reference - info