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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 SEC also works with federal and state law enforcement agencies to carry out actions against actors alleged to be in violation of the securities laws. The SEC is a member of International Organization of Securities Commissions (IOSCO), and uses the IOSCO Multilateral Memorandum of Understanding as well as direct bilateral agreements with ...
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 ...
The Securities Act of 1933, also known as the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, and the '33 Act, was enacted by the United States Congress on May 27, 1933, during the Great Depression and after the stock market crash of 1929. It is an integral part of United States securities regulation.
The SEC's Division of Examinations (commonly known as EXAMS) is the oversight branch of the Securities and Exchange Commission. It's the second largest section of the agency, after the enforcement ...
The term "asset-backed security" is currently defined in Form S-3 to mean a security that is primarily serviced by the cash flows of a discrete pool of receivables or other financial assets, either fixed or revolving, that by their terms convert into cash within a finite time period plus any rights or other assets designed to assure the ...
The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies , certain insiders, and broker-dealers are required to make regular SEC filings.
The SEC did not define materiality or reasonability in the scope of this rule beyond noting that the analysis for materiality and reasonability is the same as for any other securities law.