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The SEC has a three-part mission: to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. [8]To achieve its mandate, the SEC enforces the statutory requirement that public companies and other regulated entities submit quarterly and annual reports, as well as other periodic disclosures.
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
A security is a tradable financial asset.The term commonly refers to any form of financial instrument, but its legal definition varies by jurisdiction.In some countries and languages people commonly use the term "security" to refer to any form of financial instrument, even though the underlying legal and regulatory regime may not have such a broad definition.
The Securities and Exchange Commission (SEC) regulates the stock market in the U.S. In particular, it oversees stock exchanges, brokerages and dealers, investment funds and investment advisors ...
The Social Security Administration (SSA) is the United States federal agency that administers Social Security, a social insurance program consisting of retirement, disability, and survivors' benefits. To qualify for these benefits, most American workers pay Social Security taxes on their earnings; future benefits are based on employee ...
The SEC has decided that cybersecurity and related issues are now a material risk that public companies must disclose. As a result, in July of this year, the agency released a new rule on the ...
In U.S. law, a covered security may refer to two categories of securities: . Under The National Securities Markets Improvement Act of 1996, as codified in Section 18 of the Securities Act of 1933, a "covered security" enjoys certain preemption rights as described below, and includes more than one category of security.
A securities commission, securities regulator or capital market authority is a government department or agency responsible for financial regulation of securities products within a particular country. Its powers and responsibilities vary greatly from country to country, but generally cover the setting of rules as well as enforcing them for ...