Securities And Exchange Commission Sec - Law Dictionary Search Results
Home Dictionary Name: securities and exchange commission sec Page 1 of about 6 results (0.004 seconds)securities and exchange commission (sec)
securities and exchange commission (sec) The five-member board appointed by the president that regulates and oversees stock trading and enforces federal securities statutes. Source: FindLaw ...
Rule 10b-5
Rule 10b-5 [10b-5 from the section of the Securities Exchange Act of 1934 pursuant to which the rule was formulated] : a rule adopted by the Securities and Exchange Commission in furtherance of the Securities Exchange Act that outlaws fraud, deceit, misrepresentation, and manipulation in securities dealing in broad terms ...
securities act of 1934
securities act of 1934 The federal securities act regulating the public trading of securities. This legislation established the Securities and Exchange Commission. (15 U.S.C. Sec. 78) Source: FindLaw ...
SEC
SEC Securities and Exchange Commission see also the Important Agencies section ...
letter
letter 1 : a direct written statement addressed to an individual or organization ;broadly : an official communication see also counterletter determination letter : a letter from an administrative agency (as the Internal Revenue Service) usually in response to a request in which a determination, decision, or ruling (as whether an organization qualifies as charitable) is made information letter : a letter from an administrative agency usually in response to a request that provides information and esp. that simply calls attention to an interpretation or principle of law letter of intent : a letter in which the intention to enter into a formal agreement (as a contract) or to take some specified action is stated letter ro·ga·to·ry [-rō-gə-tȯr-ē] [probably partial translation of Medieval Latin littera rogatoria letter of request] : a formal written request by a court to a court in a foreign jurisdiction to summon and examine a witness in accordance...
agency
agency pl: -cies 1 : the person or thing through which power is exerted or an end is achieved [death by criminal "W. R. LaFave and A. W. Scott, Jr."] 2 a : a consensual fiduciary relationship in which one party acts on behalf of and under the control of another in dealing with third parties ;also : the power of one in such a relationship to act on behalf of another NOTE: A principal is bound by and liable for acts of his or her agent that are within the scope of the agency. ac·tu·al agency : the agency that exists when an agent is in fact employed by a principal see also express agency and implied agency in this entry agency by estoppel : an agency that is not created as an actual agency by a principal and an agent but that is imposed by law when a principal acts in such a way as to lead a third party to reasonably believe that another is the principal's agent and the third party is injured by relying on and acting in accordance with that belief NOTE: A principal has...
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