Securities & Exchange Commission

The U.S. Securities and Exchange Commission (frequently abbreviated SEC) is a federal agency which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. In addition to the 1934 Act that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002 and other statutes. The SEC was created by section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. § 78d and commonly referred to as the 1934 Act).

Source: Wikipedia

Campaign Finance

$13,700 Given
Information

Figures are based on itemized contributions reported to the Federal Election Commission and state agencies. Please note that:

  • contributions under $200 are not reported, and so are not included in totals.
  • only contributions from individuals and organizations to candidates are included. Various accounting measures and more exotic contribution types are excluded.
  • contributions are matched based on organization and recipient name reported within each election cycle. Contributions using an incorrect or non-standard version of the name may be missed.
  • corporate name changes and mergers may cause figures to differ from those of the Center for Responsive Politics.
  • organization totals include known subsidiaries of the organization.

For more information, please see our campaign finance methodology page. Lobbyist bundling data is described on our lobbyist bundling methodology page.

covers through 2011

  • Top Recipients

    Employee Color Block
    Individuals
    PAC Color Block
    PAC
    Includes contributions from the organization’s employees, their family members, and its political action committee.

  • Republicans vs. Democrats

    in dollars

  • State vs. Federal

    in dollars

  • Top PAC Recipients

    Employee Color Block
    Individuals
    PAC Color Block
    PAC
    Includes contributions from the organization’s employees, their family members, and its political action committee.
View all campaign finance data for Securities & Exchange Commission Sources: OpenSecrets.org

Regulations

12 Mentions
Information

All data is based on documents downloaded from Regulations.gov. The first table shows mentions: all documents that include the name of the company anywhere in the document or document metadata. The second table shows submissions: all documents where the submitter metadata included the company name. Each table shows the top 10 dockets, ranked by number of occurrences.

Matches are based on a search for the company name. Variations in the company name, such as acronyms, nicknames or alternate names may cause documents to be missed. The mention of a company name in a document may be incidental and does not necessarily indicate that the company has any relevance to the document. Company names that are common English words may erroneously match with text that is not referring to the company.

Not all agencies submit public comments to Regulations.gov. For a list of participating and non-participating agencies see here. Agencies that do submit to Regulations.gov have varying levels of accuracy and completeness.

Regulations and public comments can be downloaded in bulk here.

updated from Regulations.gov on September 27, 2011

The tables show occurrences of "Securities & Exchange Commission" in public comments on proposed federal regulations.

  • Mentions in Document Text
    • Mentions
    • Agency
    • Docket
    • Date
    • Toggle 6 OCC Credit Risk Retention by Securitizers 2011
    • Toggle 3 OCC Margin and Capital Requirements for Covered Swap Entities 2011
    • Toggle 2 HUD Credit Risk Retention 2011
    • Toggle 2 FSOC Authority To Require Supervision and Regulation of Certain Nonbank Financial Companies 2011
    • Toggle 1 TREAS Semiannual Regulatory Agenda - Spring 2011 2011
    • Toggle 1 EPA Regional Haze - OR - BART Revision & 110 Transport 2010 2011
    • Toggle 1 TREAS Determination of Foreign Exchange Swaps and Foreign Exchange Forwards Under the Commodity Exchange Act 2011
    • Toggle 1 DARS Business Systems—Definition and Administration [DFARS Case 2009–D038] 2011
    • Toggle 1 FDIC Securities of Nonmember Insured Banks 2011
    • Toggle 1 IRS Swap Exclusion for Section 1256 Contracts 2011