Securities and Exchange Commission

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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 summary is intended to help participants in the opportunity zone program understand the compliance implications for qualified opportunity funds under federal and state securities laws.
Prometheum's plans for development of the platform will allow for all aspects of the creation, distribution, trading and processing of ICO tokens as securities, compliantly under the Federal Securities Laws. It will include the creation of an Alternative Trading System (ATS) for primary issuance and secondary trading, settling and clearing mechanisms for ICO tokens, and systems for all other securities related processes in a securities compliant manner, while adding significant liquidity, value, and differentiation.
The courts ruled that purchasers who acquire controlling or one hundred percent of a corporation's stock with intent to manage or direct the management of the business have not purchased a security under the federal securities laws.
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.
That is, Congress agreed that Dodd-Frank would require the Government Accountability Office to conduct a study to analyze the impact of creating a private right of action for aiding and abetting securities laws violations.
The bank is currently facing a class action lawsuit for the violation of federal securities laws. Filed in the Southern District of New York by Kendall Law Group, the lawsuit accuses the bank of violations related to public statements made by the company between September 15 and January 21, 2009.
California's IOUs are securities, and holders and buyers of the registered warrants are protected by the provisions of the federal securities laws that prohibit fraud in the purchase or sale of securities, the SEC said on July 9.
Content explains the tax impact of each type of entity, the restrictions prohibiting certain professionals from using certain entity types, and the securities laws that apply to the entities.
And now the fraud scandal at the international dairy and food conglomerate has spurred tough new reform in corporate and securities laws in Italy, based in large part on the Sarbanes-Oxley Act (see page 15 for Italy's response to the law).
Under federal securities laws, if an alliance member is found to control another member, the controlling member may be liable for the controlled member's securities laws violations.
While attracting entrepreneurs to New Hampshire has been a key objective of the state's government and business leaders for a number of years, local entrepreneurs have often discovered after receiving start-up capital from friends and family that they have inadvertently violated New Hampshire's securities laws. But recent amendments to those laws have made it easier to avoid or minimize the effect of inadvertent violations.
Federal securities laws have changed in the past three years, most notably through passage of the Sarbanes-Oxley Act.
have not been registered under the Securities Act or applicable state securities laws, and may not be offered or sold in the U.S.
The SEC concluded that Jett committed securities fraud as well as violations of the books and records provisions of the federal securities laws. Jett was ordered to cease and desist violations of sections of the Securities Act of 1933 and the Securities and Exchange Act of 1934, pay $8.21 million in disgorgement, pay a civil penalty of $200,000, and he was barred from association with a broker or dealer.
In order to qualify for the exemption from registration, the securities must be offered in a private transaction exclusively to defined classes of large institutions referred to in Rule 144A as "qualified institutional buyers," or "QIBs." The public policy underlying Rule 144A assumes that, because of their size and sophistication, QIBs do not need the protection of the registration requirements of the securities laws. The rule provides generally that if securities are sold to QIBs in a private transaction (without publicity or general solicitation of buyers), the sale will be exempt from the registration requirements of the Securities Act.
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