Skip to content
GetProfitable
Search
Dictionary

SEC (Securities and Exchange Commission)

The US federal regulator for securities markets, including stocks, bonds, ETFs, and the exchanges and brokers that trade them.

The SEC writes and enforces rules on disclosure, insider-trading, market-manipulation, and broker conduct. Companies file their financial statements (10-K, 10-Q, 8-K) with it, and those filings are free on EDGAR.

It oversees finra, which handles day-to-day broker regulation. Derivatives on commodities fall under the cftc instead.

Example: a company announces a major acquisition. Its 8-K filing with the SEC, available within days, contains the terms that the press release summarized.

Related: finra, cftc, insider-trading, market-manipulation

Educational only, not advice. Spotted an error? Post in Site Feedback.