Securities and Exchange Commission

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  • noun

Synonyms for Securities and Exchange Commission

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


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References in periodicals archive ?
The Securities Laws (Amendment) Bill 2014 proposes various amendments which inter-alia include empowering Securities Exchange Board of India (SEBI) to call for relevant information and records from any person.
The Securities Laws (Amendment) Bill 2013 was introduced in Lok Sabha on the August 12, 2013 during the Monsoon session to replace Securities Laws (Amendment) Ordinance 2013.
Some of the recommendations broaden the reach of some provisions of the federal securities laws to other entities to which they do not currently apply.
In these contexts, the speed and flexibility available under Rule 144A, relative to public offerings, are most pronounced, since the public company issuer can rely on its periodic filings under the securities laws to satisfy, in part, the relevant informational requirements of Rule 144A.
Federal securities laws do not bar insider trading, or define it, in so many words, and the prohibition on it largely has been based on interpretations of the law.
In what best can be termed an inconsistent ruling regarding accountants' liability under securities law, the U.
Only a relative handful of banks currently provide brokerage services without the participation of a broker-dealer that is subject to regulation under the securities laws.
A company must act when there is credible evidence which would cause a prudent and competent attorney to reasonably believe that a material violation of federal or state securities law or breach of fiduciary duty or similar violation of any federal or state law has occurred, is occurring or is likely to occur, and is discovered by an attorney covered by the act, and this violation was by an issuer or agent of the issuer; and the violation is likely to result in substantial injury to the financial interests or property of the issuer of to investors.
Violations of Federal and state securities laws, including an illegal sale of unregistered stock, are felonies.
In addition to the claims of securities law violations, plaintiffs claim violation of Section 20(a) of the Exchange Act as to controlling persons of the Company, violations of the Florida Securities Act, violations of the Indiana Securities Act, sales of unregistered, non-exempt securities, violation of anti-fraud provisions under Indiana law, deception under Indiana law, and fraud.
Unless so registered, the notes, and common stock issued upon conversion of the notes, may not be offered or sold in the United States except pursuant to an exemption from the registration requirements of the Securities Act and applicable state securities laws.
securities laws regarding public tender offers and business combinations of non-U.
The notes have not been registered under the Securities Act of 1933, as amended (the "Securities Act") or any state securities laws and, unless so registered, may not be offered or sold in the United States except pursuant to an exemption from, or in a transaction not subject to, the registration requirements of the Securities Act and applicable state securities laws.
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