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The U.S. Securities and Exchange Commission (commonly known as the SEC) is an independent agency of the United States government which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets. The SEC was created by section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. § 78d and commonly referred to as the 1934 Act). In addition to the 1934 Act that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002 and other statutes. Commission membersThe SEC is composed of five commissioners, of which no more than three can be from a single political party. Currently the SEC commissioners are chair Mary L. Schapiro (D), Kathleen L. Casey (R), Elisse B. Walter (R), Luis A. Aguilar (D) and Troy A. Paredes (R). From Wikipedia under the
GNU Free Documentation License  smh.com.au 550px x 420px | 28.70kB [source page] Snapshots Previous | Back to Gallery | Next Symbolic dress a protester marches during a rally against alcholic drinks makers listing on the Thai Securities and Exchange Commission in Bangkok Photo AFP Previous |  chinadaily.com.cn 394px x 350px | 11.60kB [source page] The chairman of the Securities and Exchange Commission William Donaldson seen here in 2003 quit as the top US financial market watchdog amid criticism from the business sector that his From Yahoo Image Search: "Securities and Exchange Commission"  investmentfraudlawyerblog.com Page Perry LLC hu, 13 Aug 2009 16:36:51 GM CNN Money reported that Bank of America's negotiated $33 million settlement with the . Securities and Exchange Commission. has hit a roadblock. U.S. District Court Judge Jed Rakoff said that Bank of America effectively lied to their ...  democraticunderground.com unknown hu, 06 Aug 2009 12:40:06 GM Greenberg, 84, may face civil legal claims from the . Securities and Exchange Commission. as soon as today, the people said, declining to be identified because the regulator's plans haven't been announced. John Nester, an . SEC. spokesman in ...  complinet.com unknown Wed, 19 Aug 2009 12:00:00 GM The . Securities and Exchange Commission. has sued a former registered representative in Brooklyn federal court for fraudulently inducing at least 15 broker-dealers to buy over $1.8m worth of thinly traded stock. An . SEC. complaint alleged ... From Google Blog Search: "Securities and Exchange Commission"  news.google.com Trading Markets (press release) On May 2, 2006, the Exchange filed with the Securities and Exchange Commission (" Commission ") SR-ISE-2006-24 to establish the Quarterly Options Series ... Final Stretch for Options Penny Pilot Traders Magazine Self-Regulatory Organizations; Notice of Filing and Immediate ... Trading Markets (press release) Self-Regulatory Organizations; International Securities Exchange ... Trading Markets (press release) all 4 news articles » news.google.com Bizjournals.com Sinclair revealed that possibility in a filing Friday with the Securities and Exchange Commission . The company had $1.3 billion in outstanding debt as of ... Sinclair Warns of Bankruptcy If Debt Isn't Restructured Wall Street Journal Sinclair says it might consider bankruptcy Baltimore Sun Sinclair Broadcast Group faces possible bankruptcy Los Angeles Times The Associated Press - Multichannel News - Bizjournals.com all 164 news articles » news.google.com Bloomberg US Securities and Exchange Commission Chairman Mary Schapiro endorsed the administration's call for the fiduciary standard for brokers at a July 14 House ... SIFMA embraces new federal fiduciary standard SmartBrief SIFMA backs fiduciary standard for all advisers, exec testifies ... InvestmentNews Wall St group backs Obama broker standard proposal Reuters all 30 news articles » From Google News Search: "Securities and Exchange Commission" How good does working for the SEC (Securities and Exchange Commission) look on a resume? Q. Does the experience gained from working for the SEC open up good job opertunities in the future? If so, what kind of jobs? Asked by Money - Wed Dec 6 07:44:48 2006 - - 1 Answers - 0 Comments A. Depends on whether the experience is relevant to the next job you apply for. Would be good experience for a regulatory affairs position in private industry. Answered by fcas80 - Wed Dec 6 07:48:14 2006 who was responsible for the cancelling of the rule that the SEC, Securities Exchange Commission,~? Q. had in place since 1938, to have the rule canceled in 2007... to regulate Bearish Traders to only Shorting a Stock on the Uptick- when the Price has Increased~??? Schwab stated that without this vital control mechanism, Short-Sellers have been having a Field Day~!!! Asked by animal~Armed&Dangerous - Fri Mar 13 01:48:33 2009 - - 2 Answers - 0 Comments A. Christopher Cox, former chair of the Securities and Exchange commission from August of '05 until Obama took office in January. For those unaware, the uptick rule banned the short selling of a stock unless the previous sale was a positive one. This helped people from intentionally driving down the price of a stock for profit. Answered by Aestro - Fri Mar 13 02:01:56 2009 How did people respond to the Securities and Exchange Commission?
Q. How did people respond to the Securities and Exchange Commission? Asked by pacers31 - Sun Oct 28 22:39:07 2007 - - 1 Answers - 0 Comments A. Does someone have to write a paper about the SEC by any chance? Answered by Toodeemo - Sun Oct 28 23:04:39 2007 From Yahoo Answer Search: "Securities and Exchange Commission"
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Securities and Exchange Commission (SEC)