Find out more about the history of Securities and Exchange Commission, including videos, interesting articles, pictures, historical features and more. Get all the. The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government. The SEC holds primary responsibility History · Organizational structure · SEC communications · Operations. Find out more about the history of Securities and Exchange Commission, including videos, interesting articles, pictures, historical features and more. Get all the.
They represent the staff's interpretations of the securities laws and, while persuasive, are not binding on the courts. No-action letters are letters by the SEC staff indicating that the staff will not recommend to the Commission that the SEC undertake enforcement action against a person or company if that entity engages in a particular action. The SEC may then reply back with follow-up comments. Going to the OIG was "well-known to be a career-killer". Section 4 of the act created the U. No One Would Listen: Der Präsident ernennt einen der Kommissare zum Vorsitzenden; seit dem 4.
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may be challenged and removed. Die SEC unterhält eine Online-Datenbank namens EDGAR Electronic Data-Gathering, Analysis, and Retrieval , wo Investoren kostenlosen Zugang zu unternehmensspezifischen Informationen haben. Further, the unreported concentration of controlling stock interests in a very few hands led to the abuses of power that the free exchange of stock supposedly eliminated. Submit your e-mail address below. Rulemaking Index Proposed Rules Final Rules Interim Final Temporary Rules Other Orders and Notices Self-Regulatory Organizations Staff Interpretations. TRS SYSTEM USER MANUAL. Oct 26, Harold J.