SEC definition: Copy, customize, and use instantly
Introduction
The term "SEC" refers to the U.S. Securities and Exchange Commission, an independent federal agency responsible for enforcing federal securities laws, regulating the securities industry, and protecting investors. It plays a crucial role in maintaining fair and efficient markets.
Below are various examples of how "SEC" can be defined in different contexts. Copy the one that fits your needs, customize it, and use it in your contract.
Definition of "SEC" in corporate filings
This definition applies to regulatory requirements for public companies.
"SEC" means the United States Securities and Exchange Commission, including any successor agency, responsible for overseeing corporate disclosures and filings under federal securities laws.
Definition of "SEC" in compliance frameworks
This definition focuses on adherence to securities regulations.
"SEC" refers to the U.S. Securities and Exchange Commission, which enforces compliance with securities laws, including rules on insider trading, market manipulation, and reporting obligations.
Definition of "SEC" in investment agreements
This definition relates to regulatory oversight of investment activities.
"SEC" means the United States Securities and Exchange Commission, which regulates investment advisors, broker-dealers, and securities offerings to ensure transparency and investor protection.
Definition of "SEC" in mergers and acquisitions
This definition addresses the role of the SEC in corporate transactions.
"SEC" refers to the U.S. Securities and Exchange Commission, which reviews and enforces disclosure requirements for mergers, acquisitions, and related transactions.
Definition of "SEC" in securities offerings
This definition applies to issuing and selling securities.
"SEC" means the United States Securities and Exchange Commission, which oversees the registration and compliance of securities offerings to protect investors and maintain market integrity.
Definition of "SEC" in litigation contexts
This definition focuses on the SEC's enforcement powers.
"SEC" refers to the United States Securities and Exchange Commission, which has the authority to investigate, prosecute, and sanction violations of securities laws.
Definition of "SEC" in financial reporting
This definition applies to the role of the SEC in financial disclosures.
"SEC" means the United States Securities and Exchange Commission, which establishes and enforces rules for financial reporting by public companies to ensure accuracy and transparency.
Definition of "SEC" in broker-dealer regulations
This definition relates to oversight of brokerage activities.
"SEC" refers to the U.S. Securities and Exchange Commission, which regulates broker-dealers to ensure compliance with fair trading practices and investor protections.
Definition of "SEC" in mutual fund governance
This definition applies to the regulation of mutual funds.
"SEC" means the United States Securities and Exchange Commission, which oversees the registration, reporting, and compliance of mutual funds to protect investors.
Definition of "SEC" in international securities laws
This definition focuses on cross-border regulatory contexts.
"SEC" refers to the U.S. Securities and Exchange Commission, which collaborates with international regulators to ensure compliance with global securities laws and standards.
Definition of "SEC" in enforcement actions
This definition highlights the SEC’s role in legal enforcement.
"SEC" means the United States Securities and Exchange Commission, which initiates enforcement actions to address securities fraud, misrepresentation, and other violations.
Definition of "SEC" in private placements
This definition addresses the SEC’s role in exempt securities offerings.
"SEC" refers to the U.S. Securities and Exchange Commission, which regulates private placements under exemptions like Regulation D.
Definition of "SEC" in crowdfunding platforms
This definition applies to crowdfunding regulations.
"SEC" means the United States Securities and Exchange Commission, which oversees equity crowdfunding platforms to ensure compliance with Regulation Crowdfunding.
Definition of "SEC" in whistleblower programs
This definition focuses on programs encouraging reporting of violations.
"SEC" refers to the U.S. Securities and Exchange Commission, which administers whistleblower programs that provide incentives for reporting securities law violations.
Definition of "SEC" in insider trading investigations
This definition relates to investigations of illegal trading practices.
"SEC" means the United States Securities and Exchange Commission, which investigates and enforces laws against insider trading.
Definition of "SEC" in proxy voting rules
This definition focuses on corporate governance.
"SEC" refers to the U.S. Securities and Exchange Commission, which regulates proxy voting disclosures and practices to protect shareholder rights.
Definition of "SEC" in IPO regulations
This definition applies to initial public offerings.
"SEC" means the United States Securities and Exchange Commission, which oversees registration and compliance for companies going public.
Definition of "SEC" in ESG disclosures
This definition addresses environmental, social, and governance reporting.
"SEC" refers to the U.S. Securities and Exchange Commission, which proposes and enforces rules for ESG disclosures by public companies.
Definition of "SEC" in asset-backed securities
This definition focuses on specialized financial instruments.
"SEC" means the United States Securities and Exchange Commission, which regulates asset-backed securities offerings to ensure investor protection.
Definition of "SEC" in financial market oversight
This definition highlights market regulation.
"SEC" refers to the U.S. Securities and Exchange Commission, which oversees exchanges, clearing agencies, and market participants to maintain fair and orderly markets.
Definition of "SEC" in cryptocurrency regulations
This definition applies to digital asset oversight.
"SEC" means the United States Securities and Exchange Commission, which regulates digital assets and cryptocurrency offerings under securities laws.
Definition of "SEC" in auditor independence
This definition relates to financial audits.
"SEC" refers to the U.S. Securities and Exchange Commission, which establishes and enforces rules to ensure the independence of public company auditors.
Definition of "SEC" in securities lending
This definition focuses on lending practices.
"SEC" means the United States Securities and Exchange Commission, which regulates securities lending to protect investors and market stability.
Definition of "SEC" in registration exemptions
This definition applies to exemptions from registration requirements.
"SEC" refers to the U.S. Securities and Exchange Commission, which provides guidance and oversight on securities registration exemptions.
Definition of "SEC" in financial technology (FinTech)
This definition highlights the SEC’s role in innovative financial services.
"SEC" means the United States Securities and Exchange Commission, which monitors and regulates FinTech initiatives involving securities markets.
Definition of "SEC" in credit rating agency oversight
This definition relates to credit rating standards.
"SEC" refers to the U.S. Securities and Exchange Commission, which oversees the registration and operations of credit rating agencies to ensure transparency and fairness.
Definition of "SEC" in corporate bond markets
This definition applies to fixed-income securities regulation.
"SEC" means the United States Securities and Exchange Commission, which regulates corporate bond issuances and trading to protect investors.
Definition of "SEC" in market manipulation investigations
This definition highlights the SEC’s role in ensuring market integrity.
"SEC" refers to the U.S. Securities and Exchange Commission, which investigates and prosecutes cases of market manipulation and other unethical practices.
Definition of "SEC" in SPAC regulations
This definition focuses on special purpose acquisition companies.
"SEC" means the United States Securities and Exchange Commission, which oversees compliance and disclosure requirements for SPACs to protect investors.
Definition of "SEC" in foreign issuer filings
This definition applies to international companies operating in the U.S. markets.
"SEC" refers to the U.S. Securities and Exchange Commission, which regulates filings and disclosures by foreign issuers to ensure compliance with U.S. securities laws.
Definition of "SEC" in municipal securities
This definition focuses on public finance.
"SEC" means the United States Securities and Exchange Commission, which regulates municipal securities markets to protect investors and ensure transparency.
This article contains general legal information and does not contain legal advice. Cobrief is not a law firm or a substitute for an attorney or law firm. The law is complex and changes often. For legal advice, please ask a lawyer.