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What does The Securities and Exchange Commission do?
 
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Any questions? The Securities and Exchange Commission is a government entity created to regulate the trading in securities such as stocks and bonds. The "SEC" as it is known was created after the Great Depression to protect the public by regulating the trading in stocks and bonds. The goal is for the average investor, Joe Q, to have access to the same information as the executives who oversee or work for the public companies that are traded on the exchanges. All public companies must file their results with the SEC on a periodic basis, usually each quarter so that the public has access to the same information as the company executives. Also, the SEC makes sure that the "insiders" who work for the companies, do not have an unfair advantage to invest or trade in securities based on "inside" information that is not yet available to the public. So, the SEC is like an investment police force!
Views: 28273 FinLit
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
 
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Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operations of the industry. In practice, the SEC delegates most of its enforcement and rulemaking authority to FINRA. In fact, all trading firms not regulated by other SROs must register as a member of FINRA. Individuals trading securities must pass exams administered by FINRA to become registered representatives.[11][12] The Investment Management Division oversees registered investment companies, which include mutual funds, as well as registered investment advisors. These entities are subject to extensive regulation under various federals securities laws.[13] The Division of Investment Management administers various federal securities laws, in particular the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include:[14] assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff; responding to no-action requests and requests for exemptive relief; reviewing investment company and investment adviser filings; assisting the Commission in enforcement matters involving investment companies and advisers; and advising the Commission on adapting SEC rules to new circumstances. The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. The SEC generally conducts investigations in private. The SEC's staff may seek voluntary production of documents and testimony, or may seek a formal order of investigation from the SEC, which allows the staff to compel the production of documents and witness testimony. The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.[15] Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the Commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC. This office has played a role in such areas as working with the Financial Accounting Standards Board to develop Generally Accepted Accounting Principles, the Public Company Accounting Oversight Board in developing audit requirements, and the International Accounting Standards Board in advancing the development of International Financial Reporting Standards; The Office of Compliance, Inspections and Examinations, which inspects broker-dealers, stock exchanges, credit rating agencies, registered investment companies, including both closed-end and open-end (mutual funds) investment companies, money funds. and Registered Investment Advisors; The Office of International Affairs, which represents the SEC abroad and which negotiates international enforcement information-sharing agreements, develops the SEC's international regulatory policies in areas such as mutual recognition, and helps develop international regulatory standards through organizations such as the International Organization of Securities Commissions and the Financial Stability Forum; The Office of Investor Education and Advocacy, which helps educate the public about securities markets and warns investors of fraud and stock market scams; The Office of Economic Analysis, which helps the SEC estimate the economic costs and benefits of its various rules and regulations; and The Office of Information Technology, which supports the Commission and staff in information technology, including application development, infrastructure operations. and engineering, user support, IT program management, capital planning, security, and enterprise architecture. The Inspector General. The SEC announced in January 2013 that it had named Carl Hoecker the new inspector general.[16][17] He has a staff of 22. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 5146 Way Back
The Securities Act of 1933 and the Securities Exchange Act of 1934
 
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This video discusses how the Securities Act of 1933 and the Securities Exchange Act of 1934 affected financial accounting in the United States. These acts created the Securities and Exchange Commission (SEC) and require publicly-traded companies to be registered with the SEC. Publicly-traded companies must file an annual report (the 10-K), a quarterly report (the 10-Q), and a report whenever there is a material event (the 8-K) such as a bankruptcy, change of ownership, etc. This significantly increased the regulation for public companies in the U.S. and increased protections for investors. Edspira is your source for business and financial education. To view the entire video library for free, visit http://www.Edspira.com To like Edspira on Facebook, visit https://www.facebook.com/Edspira To sign up for the newsletter, visit http://Edspira.com/register-for-newsletter Edspira is the creation of Michael McLaughlin, who went from teenage homelessness to a PhD. The goal of Michael's life is to increase access to education so all people can achieve their dreams. To learn more about Michael's story, visit http://www.MichaelMcLaughlin.com To follow Michael on Twitter, visit https://twitter.com/Prof_McLaughlin To follow Michael on Facebook, visit https://www.facebook.com/Prof.Michael.McLaughlin
Views: 4938 Edspira
SEC - The United States Securities And Exchange Commission
 
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What is SEC? The United States Securities and Exchange Comission was founded years and years ago to protect participants of the stock market. SEC offers services for investors and traders. You can use SEC EDGAR search to find financial information about any public stock. The United States Securities and Exchange Commission was create to protect participants of the stock market and to regulate buying and selling processess.
Views: 5255 Joyful Investor
Keynote Speakers: Securities and Exchange Commission
 
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Nadia Brannon - Member at Distributed Ledger Technology Working Group, SEC Nadia is an econometrician by training and is a certified fraud examiner. Prior to SEC, she was an executive director with Ernst & Young in San Francisco where she led forensic data analytics practice. Zachary Fallon - Special Counsel in the Office of Small Business Policy, SEC Zachary joined the SEC in 2009 as an Attorney-Advisor in the Office of the General Counsel, and most recently served as Senior Special Counsel to the Director of the Division of Corporation Finance. Victor Hong - Senior Counsel in the Division of Enforcement, SEC Victor has extensive experience investigating and litigating potential securities law violations. Beforehand, he was in private practice with a large New York law firm and a law clerk on the Second Circuit Court of Appeals. Scott Walker - Attorney-Advisor in the Office of Compliance Inspections and Examinations, and member of Distributed Ledger Technology Working Group, SEC Scott's primary focus is on Investment Advisers and Investment Companies. Prior to his work as a regulator, Scott was a Corporate Counsel at Barclays and BlackRock.
SEC - Security & Exchange Commission - USA
 
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Welcome to the Investors Trading Academy talking glossary of financial terms and events. Our word of the day is “SEC - Security & Exchange Commission - USA” The Securities Exchange Act of 1934 governs the way in which the nation's securities markets and its brokers and dealers operate. When the stock market crashed in October 1929, so did public confidence in the U.S. markets. Congress held hearings to identify the problems and search for solutions. Based on its findings, Congress – in the peak year of the Depression – passed the Securities Act of 1933. The following year, it passed the Securities Exchange Act of 1934, which created the SEC. The SEC has four major divisions. 1. The Division of Corporation Finance ensures corporate disclosure of important information to the investing public. 2. The Division of Trading and Markets ensures fairness, order and efficiency in market activities. 3. The Division of Investment Management helps protect investors and encourages capital formation through oversight and regulation of the investment management industry. 4. The Division of Enforcement investigates securities law violations and initiates civil and criminal actions. The SEC is composed of five commissioners appointed by the U.S. President and approved by the Senate. The statutes administered by the SEC are designed to promote full public disclosure and to protect the investing public against fraudulent and manipulative practices in the securities markets. Generally, most issues of securities offered in interstate commerce, through the mail or on the internet must be registered with the SEC. By Barry Norman, Investors Trading Academy - ITA
The United States Securities and Exchange Commission (SEC) Investigations
 
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Understanding the SEC and what may trigger an SEC investigation are important considerations for foreign investors. Having your company investigated by the SEC is something any investor should avoid at all costs. Mayer Brown partner Richard Rosenfeld shares tips for avoiding such an investigation.
Views: 278 Mayer Brown
Securities Act of 1933
 
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United States Congress enacted the Securities Act of 1933 (the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, or the '33 Act, Title I of Pub. L. 73-22, 48 Stat. 74, enacted May 27, 1933, codified at 15 U.S.C. § 77a et seq.), in the aftermath of the stock market crash of 1929 and during the ensuing Great Depression. Legislated pursuant to the interstate commerce clause of the Constitution, it requires that any offer or sale of securities using the means and instrumentalities of interstate commerce be registered with the SEC pursuant to the 1933 Act, unless an exemption from registration exists under the law. "Means and instrumentalities of interstate commerce" is extremely broad, and it is virtually impossible to avoid the operation of this statute by attempting to offer or sell a security without using an "instrumentality" of interstate commerce. Any use of a telephone, for example, or the mails, would probably be enough to subject the transaction to the statute. The 1933 Act was the first major federal legislation to regulate the offer and sale of securities. Prior to the Act, regulation of securities was chiefly governed by state laws, commonly referred to as blue sky laws. When Congress enacted the 1933 Act, it left existing state securities laws ("blue sky laws") in place. The '33 Act is based upon a philosophy of disclosure, meaning that the goal of the law is to require issuers to fully disclose all material information that a reasonable shareholder would require in order to make up his or her mind about the potential investment. This is very different from the philosophy of the blue sky laws, which generally impose so-called "merit reviews." Blue sky laws often impose very specific, qualitative requirements on offerings, and if a company does not meet the requirements in that state then it simply will not be allowed to do a registered offering there, no matter how fully its faults are disclosed in the prospectus. Recently, however, NSMIA added a new Section 18 to the '33 Act which preempts blue sky law merit review of certain kinds of offerings. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 9449 Audiopedia
Virtual Currencies: The Oversight Role of the U.S. Securities and Exchange Commission
 
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Virtual Currencies: The Oversight Role of the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission This is a video I believe anyone investing or getting into cryptocurrency should watch, understand, and learn. This meeting alone has been one of the reasons that nearly all cryptocurrencies are rising. The government can not regulate and is having problems with their own internal guidelines and rules for stocks, bonds, 401k, currency, and a whole bunch more. Why are they getting their hands into cryptocurrency? They do not have anything under control now. Should they start regulating Pokemon Cards as well? Some really good points being brought up for example with Russia and India wanting to create their own Cryptocurrency how will the United States try and regulate it. (Kinda funny the USA regulating a Russian or Indian currency... Good luck) I get the primary concern is ICO and Money Laundering. But it seem the US is about to go toe to toe with other countries and trying to enforce their regulation. No one controls Bitcoin and to them they think of this as an opportunity to tax people and make money. But they are finding out their hands are tied and no one supports what they want. Things are looking good for Bitcoin and Blockchain Technology. ---------- Crypto News TV Information ---------- **Crypto News TV Telegram Chat** http://bit.ly/2nokwzk **FREE $10 in Bitcoin on Coinbase** http://bit.ly/2ipXsdU **Receive FREE Bitcoin 100% Free** http://bit.ly/2jDB0hL **Cryptocurrency Podcast on iTunes** http://apple.co/2mNKdZT Contact Info: Website: https://cryptonewstv.com/ IG: https://www.instagram.com/cryptonewstv/ Donations: BTC: 171SaTtfo6byG3QYCkh8twyu7koDbHuM4J ETH: 0xA51829b418FEdBeadbdc90cc3474026e46EaDC1e NEO: AQ9iBvwu3hwzmdKR5D3ejg2suHQXrbMFcL
Views: 1088 Crypto News
Paul Elio presents to the Securities and Exchange Commission
 
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SEC - Advisory Committee on Small and Emerging Companies Meeting July 19, 2016 Elio Motors Founder & CEO Paul Elio provides an update on the utilization of Regulation A+.
Views: 15791 Elio Motors
Work at the Securities and Exchange Commission
 
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The SEC is looking for the best and brightest to help strengthen their team in order to better serve as the investor's advocate. A career with the Securities and Exchange Commission offers . . . Work that is exciting, challenging and meaningful. Experience working on cutting edge issues and an opportunity to make a difference for investors in America. Careers that broaden and deepen your already accomplished knowledge, skills and abilities. Opportunity to contribute to the future of investing in the United States. A challenging environment to work and learn with the nation's experts. Benefits, compensation, training, career expansion and a balance with your personal life.
What is the Securities and Exchange Commission?
 
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http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/ What is the Securities and Exchange Commission?
Views: 311 Jason Mance Gordon
Trecento Blockchain Capital ICO Interview + Review | Win $1,000 For Your Question
 
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https://ico.trecento-blockchain.capital - we are happy to present you interview with interesting project - Trecento Blockchain Capital. Team of this ICO will answer to our questions in this video. And today you can win $1000 in their tokens! Steps are simple for that - subscribe to our Youtube channel. And ask your questions below this video. Team of Trecento Blockchain Capital will choose TOP question and subscriber will get $1000 in their tokens. BTC TV IS NOT PROVIDING INDIVIDUALLY TAILORED INVESTMENT ADVICE AND IS NOT TAKING SUBSCRIBERS PERSONAL CIRCUMSTANCES INTO CONSIDERATION WHEN DISCUSSING INVESTMENTS IN ICOS. BTC TV IS NOT REGISTERED TO PROVIDE INVESTMENT ADVICE AND ARE SIMPLY PROVIDING AN OPINION, GIVING THEIR PARTICULAR EXPERIENCE, WHEN DISCUSSING ICOS. INFORMATION CONTAINED HEREIN IS NOT AN OFFER OR SOLICITATION TO BUY, HOLD, OR SELL ANY SECURITY. BTC TV IS NOT A BROKER-DEALER OR FINANCIAL ADVISER AND IS NOT AFFILIATED WITH AN INVESTMENT ADVISORY FIRM. BTC TV DOES NOT ENGAGE IN ACTIVITIES THAT WOULD REQUIRE SUCH REGISTRATION. BTC TV AND/OR ANY COMPANIES AFFILIATED WITH BTC TV, ARE NOT RESPONSIBLE FOR ANY GAINS OR LOSSES THAT RESULT FROM THE OPINIONS EXPRESSED HEREIN. THE ICOS DISCUSSED HEREIN HAVE NOT BEEN REVIEWED BY THE SECURITIES AND EXCHANGE COMMISSION OR ANY STATE SECURITIES REGULATORY AUTHORITY. FURTHERMORE, THE FOREGOING AUTHORITIES HAVE NOT CONFIRMED THE ACCURACY OR DETERMINED THE ADEQUACY OF THE ICO OFFERING DOCUMENTS. ANY REPRESENTATION TO THE CONTRARY IS A CRIMINAL OFFENSE. THE ICOS IDENTIFIED HEREIN MAY CONSTITUTE SECURITIES PURSUANT TO FEDERAL AND STATE SECURITIES LAWS AND MAY NOT BE APPROPRIATE FOR, OR OFFERED TO, INVESTORS RESIDING IN THE UNITED STATES. IN MAKING AN INVESTMENT DECISION, INVESTORS MUST RELY ON THEIR OWN EXAMINATION OF THE PERSON OR ENTITY ISSUING THE ICO AND THE TERMS OF THE OFFERING, INCLUDING THE MERITS AND RISKS INVOLVED. INVESTMENT IN ICOS INVOLVES A HIGH DEGREE OF RISK AND SHOULD BE CONSIDERED ONLY BY PERSONS WHO CAN AFFORD TO SUSTAIN A LOSS OF THEIR ENTIRE INVESTMENT. INVESTORS IN ICOS SHOULD CONSULT THEIR FINANCIAL ADVISER BEFORE INVESTING IN ICOS. THE SECURITIES AND EXCHANGE COMMISSION HAS WARNED INVESTORS RESIDING IN THE UNITED STATES THAT ICOS MAY CONSTITUTE SECURITIES, AND BY INVESTING IN ICOS, INVESTORS MAY BE PURCHASING UNREGISTERED SECURITIES OFFERINGS. US INVESTORS WHO INVEST IN MAY BE UNABLE TO RECOVER ANY LOSSES SUSTAINED IN THE EVENT OF FRAUD OR THEFT. #trecento #ico #review
Views: 19238 BTC TV
Securities and Exchange Commission (Philippines)
 
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See Securities and Exchange Commission for other similarly named organizations in other countries The Securities and Exchange Commission is the agency of the Government of the Philippines responsible for regulating the securities industry in the Philippines. The SEC is an agency within the Office of the President of the Philippines. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 2682 Audiopedia
I Filed A Complaint With The Securities And Exchange Commission On Gold Market Fixing.
 
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LINK to my complaint statement. PLEASE copy/paste it and file your own complaint. There is strength in numbers. Click here: https://steemit.com/money/@marketreport/i-just-filed-a-complaint-with-the-sec-regarding-gold-fixing-gregory-mannarino *EVERYTHING YOU NEED TO RIP THIS MARKETS FACE OFF IN ONE PLACE! Click here: https://www.traderschoice.net/ #1 Trading Tip: You beat the Stock Market by watching THE BOND MARKET. Period.. Click here: https://www.traderschoice.net/ *This is an animal shelter which I personally support financially with monthly donations. Please adopt homeless pets. Gregory Mannarino https://animalfoundation.com/
Views: 13979 Gregory Mannarino
What Is The Securities And Exchange Commission?
 
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Other forms of financial statements. The role of the sec what does securities and exchange commission do? Youtube. Securities and exchange commission facts & summary sec news cnbc. Sec definition and how it affects the u. Securities and exchange commission (sec) is an independent agency of the united states federal government. Founded home securities and exchange commission. Securities and exchange commission (sec) investopedia the u. Government agency that oversees securities transactions, activities of financial professionals and mutual fund trading to prevent fraud intentional deception. Securities and exchange commission cnbc explains. The sec consists of five commissioners who serve staggered year terms the u. Get all the news and analysis related to u. What is the securities and exchange commission (sec)? Dummies. Securities and exchange commission (sec) has a three part mission find out more about the history of securities commission, including videos, interesting articles, pictures, historical features. Sthe securities & exchange commission definition, history and zambia of pakistan (secp). Securities and exchange commission (sec) investopediasec. Laws, rules, decisions and resolutionsrelevant to the secs. Securities and exchange commission is to protect investors, maintain fair, orderly, efficient markets, facilitate capital formation the securities (sec) a u. Securities and exchange commission (sec) regulates the stock market. In response to the stock market crash of 1929 and ensuing great depression, securities exchange act 1934 created sec 30 oct 2017 u. The sec holds primary responsibility definition of securities and exchange commission (sec) us federal agency established in 1934 to help protect investors by enforcing related laws, the commission, also known as sec, is a regulatory body that was result act. It protects investors by making the u. Each of these were created by the securities and exchange commission. Securities exchange commission 26 apr 2012 the united states securities and or sec is watchdog of wall street. So how does it work and what power by maire loughran. Gov what is securities and exchange commission (sec)? Definition u. Market transparent the accounting industry is regulated by several organizations. In this the securities and exchange commission oversees exchanges, brokers dealers, investment advisors, mutual funds in an effort to (sec) is regulator of capital functions vests board which appointed by welcome official website & pakistan (secp)! read information about laws, licensing, enforcement islamic hotlines. Securities and exchange commission (sec) is an independent federal government agency responsible for protecting investors, maintaining fair orderly functioning of securities markets facilitating capital formation the sec enforces laws to protect more than 65 million american in support april's national financial capability month, staff 10 jun 2013 mission u. Securities and exchange commission wikip
Views: 3 E Market
Securities and Exchange Commision SEC or Self Regulation?
 
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The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. If they have failed in the past, why should they be granted more power to fail in the future?
Views: 111 scottab140
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
 
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Under Cox's leadership, the SEC on September 17 and 18, 2008, imposed a variety of both permanent and emergency restrictions on short selling in response to the liquidity crisis. Abusive naked short selling, in which the seller intentionally fails to deliver the shares sold short in time for settlement, was banned outright, an exception for options market makers that had been in place for several years was eliminated,[94] and a new anti-fraud provision, Rule 10b-21, was adopted to give specific enforcement authority in such cases.[95] In September 2008, short selling of 799 financial stocks was temporarily curtailed[93] in response to rumors accompanied by heightened short selling activity in the shares of major financial institutions. On September 26, 2008, Cox ended the 2004 program for voluntary regulation of investment bank holding companies, begun under SEC Chairman William Donaldson and then-Director of Market Regulation (later SEC Commissioner) Annette Nazareth. The program "was fundamentally flawed from the beginning, because investment banks could opt in or out of supervision voluntarily," Cox said.[96] A critical report by the SEC inspector general that evaluated the program in light of the Bear Stearns near-failure in March 2008 found that while "Bear Stearns was compliant with the capital and liquidity requirements" at the time of its acquisition, "its collapse raises serious questions about the adequacy of these requirements." However, according to the Inspector General, his report "did not include a determination of the cause of Bear Stearns' collapse" or determine "whether any of these issues directly contributed to Bear Stearns' collapse." On that subject, the report stated, "we have no evidence linking these significant deficiencies with the cause of Bear Stearns' collapse."[97][98] Cox criticized the oversight program on the ground that because of its voluntary nature and the SEC's limited statutory authority, the agency could not force changes in the hundreds of unregulated subsidiaries of large investment banks such as Goldman Sachs, Morgan Stanley, Merrill Lynch, Lehman Brothers and Bear Stearns as bank regulators could do with bank holding companies. In testimony before Congress on several occasions in 2008, he asked for statutory authority to regulate investment bank holding companies.[99] In addition to the fact that the Gramm-Leach-Bliley Act did not give the SEC the authority to regulate large investment bank holding companies, Cox noted that investors were vulnerable to other regulatory gaps such as the fact that the $60 trillion market for credit default swaps was then completely unregulated. "Neither the SEC nor any regulator has authority even to require minimum disclosure", he said.[96] In testimony and public statements he urged Congress to enact remedial legislation.[100] Cox said that during the buildup of the credit crisis, when the credit rating agencies were still unregulated, they gave top credit ratings to financial instruments which packaged risky loans and spread the negative impacts of the credit crisis more broadly throughout the markets.[101] Following the first-time SEC registration of the credit rating agencies in September 2007 under newly enacted legislative authority, he ordered a 10-month examination of the three major rating agencies that uncovered significant weaknesses in their ratings practices for mortgage-backed securities and that called into question the impartiality of their ratings. The results were reported to Congress in July 2008.[102] The SEC immediately commenced a rulemaking which concluded on December 3, 2008 with approval of a series of measures to regulate the conflicts of interests, disclosures, internal policies, and business practices of credit rating agencies. The regulations were intended to ensure that firms provide more meaningful ratings and greater disclosure to investors concerning collateralized debt obligations and residential mortgage-backed securities. https://en.wikipedia.org/wiki/Christopher_Cox
Views: 174 Way Back
Let's Talk about The U.S. Securities and Exchange Commission, SEC
 
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http://www.learntotrade.tv/ The U.S. Securities and Exchange Commission, or, SEC is an agency of the United States federal government. It holds primary responsibility for enforcing the federal securities laws, and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations.
Views: 191 Learn To Trade
OUR NON PROFIT APPLICATION IS NOW IN SECURITIES AND EXCHANGE COMMISSION (SEC)
 
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https://www.patreon.com/terenceflannery Our site is about many aspects of ordinary life in the Philippines. Our videos cover various projects, we have built a houses of the needy ,bringing smile to the Filipino kids . Ours is essentially a family oriented site aimed at those who seek a second chance at life. Our mission is to entertain to encourage and to inspire those who seek another way to live.
Expanding Your Prospect Research: Understanding Securities and Exchange Commission (SEC) Filings
 
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Identifying, evaluating, and contacting potential prospects for your nonprofit organization is a time-consuming task. With the help of public information, however, the task can be made easier. One source of such information is the U.S. Securities and Exchange Commission (SEC) filings. An SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission. Public companies, certain insiders, and broker-dealers are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. Among other important data, these filings provide information on the compensation of key executives, who are often board members and significant stake holders in public companies. Our speaker has fifteen years of experience as a corporate librarian. He explains how to take the complicated SEC filings and make them a road map to your prospect researching. Suggested Websites for Further Information: *Securities and Exchange Commission: www.sec.gov --official website for the SEC *Secdatabase.com: www.secdatabase.com --free full text and archived EDGAR documents *Big Charts: www.bigcharts.com --interactive stock charts and stock quotes *Marketwatch.com: www.marketwatch.com --financial markets, stock quotes and company news *Yahoo Finance: www.finance.yahoo.com --basic company snapshots, news and stock quotes *Investopedia.com: www.investopedia.com --investment terms and definitions
Views: 1450 Foundation Center
15-55506 Securities and Exchange Comm'n v. Mitchell Stein
 
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Willie Gault, former President and co-CEO of Heart Tronics, Inc., and its attorney Mitchell Stein, appeal the SEC's civil enforcement actions for violating federal securities laws, and permanently enjoining them and ordering disgorgement.
Lucia v. Securities and Exchange Commission (SCOTUS-Toons)
 
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QUESTION: Are administrative law judges of the Securities and Exchange Commission Officers of the United States within the meaning of the Appointments Clause? IN THE SUPREME COURT OF THE UNITED STATES Raymond J. Lucia, et al., Petitioners v. Securities and Exchange Commission, Respondent. (No. 17-130) Washington, D.C. Monday, April 23, 2018 The above-entitled matter came on for oral argument before the Supreme Court of the United States at 10:03 a.m. APPEARANCES: MARK PERRY, ESQ., Washington, D.C.; on behalf of the Petitioners. JEFFREY B. WALL, Deputy Solicitor General, Department of Justice, Washington, D.C.; on behalf of the Respondent, in support of the Petitioners. ANTON METLITSKY, ESQ., New York, New York; on behalf of the Court-appointed amicus curiae in support of the judgment below. CONTENTS: (0:00) ORAL ARGUMENT OF: MARK PERRY, ESQ. On behalf of the Petitioners (12:01) ORAL ARGUMENT OF: JEFFRY B. WALL On behalf of the Respondent in support of the Petitioners (28:56) ORAL ARGUMENT OF: ANTON METLITSKY, ESQ. On behalf of the Court-appointed amicus curiae in support of the judgment below (55:30) REBUTTAL ARGUMENT OF: MARK PERRY, ESQ. On behalf of the Petitioners Transcript: https://www.supremecourt.gov/oral_arguments/argument_transcripts/2017/17-130_41p3.pdf Ruling: https://www.supremecourt.gov/opinions/17pdf/17-130_4f14.pdf More Info: https://www.oyez.org/cases/2017/17-130 ABOUT SCOTUS-TOONS: The SCOTUS does not allow cameras in the courtroom during oral arguments so if you want to see what happens during a Supreme Court case you have to make the video yourself. TWITTER: https://twitter.com/scotusToons REDDIT: https://reddit.com/r/scotusToons ---LINKS--- ITCH.IO: https://danielleemeeks.itch.io/ GAME JOLT: http://gamejolt.com/profile/danielleemeeks/915328 TWITCH.TV: https://www.twitch.tv/danielleemeeks TWITTER: https://twitter.com/DanielLeeMeeks INSTAGRAM: https://www.instagram.com/danielleemeeks/ TUMBLR: http://danielleemeeks.tumblr.com/ VINE: https://vine.co/u/1054292958427721728 YOUTUBE: http://youtube.com/DanielLeeMeeks --TAGS-- Anime Studio Pro 12, Moho Studio Pro 12, Unity 2017, SCOTUS, SUPREME COURT OF THE UNITED STATES, cartoon, animation, animated, John G. Roberts, Anthony M. Kennedy, Clarence Thomas, Ruth Bader Ginsburg, Stephen G. Breyer, Samuel Anthony Alito, Sonia Sotomayer, Neil M. Gorsush
Views: 391 Daniel Meeks
Breaking News: SEC Chairman Declares All ICOs As Securities
 
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Breaking News: SEC Chairman Declares All ICOs As Securities Subscribe: http://bit.ly/CryptoCoinNewsYT Jay Clayton, the head of the Securities and Exchange Commission (SEC) has made an announcement on CNBC with regards to ICO's. According to the SEC, all tokens or digital assets that were used to raise funds for a venture or company with an expectation of profit, either given by the company formed or exchangeable on a secondary market, are classified as securities, meaning that most ICO's would fall under this definition. The chairman also underlined that the agency won't be adjusting the current rules of the SEC for Initial Coin Offerings. Clayton was not entirely against the technology provided by the blockchain industry, stating that distributed ledger technology provides incredible promise not only in the financial market but in other areas too. Finally, the SEC representative said that cryptocurrencies like Bitcoin should not be considered as a security, given that they do not seek to fund a project in exchange for a return.
Views: 15461 CryptoCoin.News
I called the Securities & Exchange Commission. What they told me was SHOCKING !
 
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I wanted to know if a purchase of a stock i wanted to make would violate insider trading laws. more than a month ago I met with a company who wanted to invest in one of my portfolio companies. We never discussed their business. Only ours. But I liked the company. The next week their stock fell significantly after their earnings report. It was now at a price I wanted to buy it.The only non public information i have is that they have an interest in one of my companies. Would it be insider trading if i bought the stock ? I called the SEC to see if I could get this question answered. What I found shocked even me.
Views: 13926 blogmaverick
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
 
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The Securities and Exchange Commission is a regulatory group for financial advisers. Learn about the Securities and Exchange Commission, or SEC, with information from a financial planner in this free video on personal finance and the stock market. Expert: Chris Markowski Contact: www.watchdogonwallstreet.com Bio: Christopher Markowski is the founder of the financial planning firm, Markowski Investments. Filmmaker: Christopher Rokosz
Views: 1678 eHow
01 | SEC Company Registration System (CRS) | Verify Company Name
 
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After you have successfully created and activated your account, you may now start the registration process. In this tutorial, you will learn how to use the CRS to verify your company name. Log on to https://crs.sec.gov.ph/ to register your company online. To learn more about how to use the CRS to register your company online, watch the SEC CRS | Online Company Registration Tutorial Series https://www.youtube.com/playlist?list=PLYB65DangkWLf6Ic6v_s3jvrvLVlXOcvM You may also visit our website at http://www.sec.gov.ph/ for more information. Music by: RAMOL
SEC Declares DAO Tokens Securities and ICOs Subject to Federal Securities Laws
 
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The U.S. Securities and Exchange Commission (SEC) has announced that Initial Coin Offerings (ICOs) and token sales are subject to federal securities laws. The announcement follows a report based on an investigation into The DAO’s token sale in 2016, in which the Commission found DAO tokens to be securities. Read ful article on: https://news.bitcoin.com/sec-declares-dao-tokens-securities-icos-federal-securities-laws/
Richard Best, Securities and Exchange Commission
 
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Richard Best, regional director of the Securities and Exchange Commission's Salt Lake office, describes taking precautions against affinity fraud. More at: https://www.fbi.gov/news/stories/beware-of-affinity-fraud
Securities And Exchange Commission
 
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An Easy Overview Of The Securities And Exchange Commission
Views: 2006 Christopher Hunt
02 | SEC Company Registration System (CRS) | Add Company Information
 
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In this tutorial, you will learn how to use the CRS to add your company information. Log on to https://crs.sec.gov.ph/ to register your company online. To learn more about how to use the CRS to register your company online, watch the SEC CRS | Online Company Registration Tutorial Series https://www.youtube.com/playlist?list=PLYB65DangkWLf6Ic6v_s3jvrvLVlXOcvM You may also visit our website at http://www.sec.gov.ph/ for more information. Music by: RAMOL
062118 -- “Oversight of the U.S. Securities and Exchange Commission” (EventID=108477)
 
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Thursday, June 21, 2018 (10:00 AM) -- Committee on Financial Services Hearing: “Oversight of the U.S. Securities and Exchange Commission”
Views: 1601 GOPFinancialServices
SECURITIES & EXCHANGE COMMISSION (SEC)
 
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-- Created using PowToon -- Free sign up at http://www.powtoon.com/youtube/ -- Create animated videos and animated presentations for free. PowToon is a free tool that allows you to develop cool animated clips and animated presentations for your website, office meeting, sales pitch, nonprofit fundraiser, product launch, video resume, or anything else you could use an animated explainer video. PowToon's animation templates help you create animated presentations and animated explainer videos from scratch. Anyone can produce awesome animations quickly with PowToon, without the cost or hassle other professional animation services require.
The Securities Exchange Act of 1934
 
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http://thebusinessprofessor.com/securities-exchange-act-of-1934/ The Securities Exchange Act of 1934
Views: 2328 Jason Mance Gordon
McAfee challenges the US Securities and Exchange Commission to a televised debate
 
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🚀 Become a Patron! (NEW Airdrop Alerts) https://www.patreon.com/snipers 🚀 McAfee has called on Jay Clayton the US Securities Exchange and Commission’s Chairman for a debate on national television and has proposed the challenge in the least polite fashion possible. The SEC recently announced that all ICO's are securities and McAfee is furious. Let's take a look at what's going on and what this means for our regulatory issues. ►Internxt: https://internxt.com/ ►Sign up for Internxt Beta/Airdrops: https://internxt.com/core Got any questions? Feel free to leave them down in the comments below! Also connect with us on any platform you prefer for non-stop action! Video Timestamps: 00:01 - Intro 00:20 - Bitcoin Technical Analysis 01:39 - Article: McAfee challenges the US.... 02:44 - Article: The Chinese Gov.... 03:57 - ETH Technical Analysis 04:47 - Q&A 09:02 - EOS Technical Analysis 12:35 - Coinmarketcap ►CONNECT! TWITTER: https://twitter.com/sniperstube DISCORD: https://discord.gg/HqgQA9D FACEBOOK: https://www.facebook.com/sniperstube INSTAGRAM: https://www.instagram.com/sniperstube/ SNAPCHAT: https://www.snapchat.com/add/sniperstube STEEMIT: https://steemit.com/@snipers PHONE #: (504) 434-0269 ►HERE'S WHAT I USE! Coinbase (Trade Bitcoin): https://www.coinbase.com/join/59982942f2e11e008e04960c Binance (Trade Altcoins): https://www.binance.com/?ref=11668901 Bitmex (Shorting/Leverage Trading Bitcoin): https://www.bitmex.com/register/9CXNWf TradingView (Charting): http://tradingview.go2cloud.org/SH1TG Coinigy (API Charting): https://www.coinigy.com/?r=5f8dd7f0 3Commas (Consecutive Stop Loss/Take Profits/Trading Bot/Copy Trading): https://3commas.io/?c=tc25670 Books & More: https://www.amazon.com/shop/sniperstube?ref=ac_inf_hm_vp ------------------------- ►REFRENCES! McAfee challenges the US Securities and Exchange Commission to a televised debate: https://www.coininsider.com/mcafee-challenges-sec/ McAfee Tweet: https://twitter.com/officialmcafee/status/1004741243400871938?ref_src=twsrc%5Etfw&ref_url=https%3A%2F%2Fwww.coininsider.com%2Fmcafee-challenges-sec%2F THE CHINESE GOVERNMENT CONSIDERS RELAXING THE BAN ON CRYPTOCURRENCY TRADING: http://www.fintechcryptonews.com/the-chinese-government-considers-relaxing-the-ban-on-cryptocurrency-trading/ Disclaimer: The information from Naeem and any other SnipersTube affiliate/member is for informational purposes only. It should not be considered legal or financial advice. You should consult with a financial professional to determine what may be best for your individual needs. I don't make any guarantees or other promises as to any results that may be obtained from using my content/advice. No one should make any investment decision without first consulting his or her own financial adviser and conducting his or her own research and due diligence.
Views: 3911 SnipersTube
Regulation D (SEC)
 
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In the United States under the Securities Act of 1933, any offer to sell securities must either be registered with the United States Securities and Exchange Commission (SEC) or meet certain qualifications to exempt them from such registration. Regulation D (or Reg D) contains the rules providing exemptions from the registration requirements, allowing some companies to offer and sell their securities without having to register the securities with the SEC. A Regulation D offering is intended to make access to the capital markets possible for small companies that could not otherwise bear the costs of a normal SEC registration. Reg D may also refer to an investment strategy, mostly associated with hedge funds, based upon the same regulation. The regulation is found under Title 17 of the Code of Federal Regulations, part 230, Sections 501 through 508. The legal citation is 17 C.F.R. §230.501 et seq. On July 10th, 2013, the SEC issued new final regulations allowing public advertising and solicitation of Regulation D offers to accredited investors. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 4047 Audiopedia
What Is The Securities And Exchange Commission?
 
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Securities and exchange commission (sec) regulates the stock market, protects investors makes u. Securities and exchange commission (sec) is an independent agency of the united states federal government. Securities and exchange commission cnbc explains. Official website about the securities and exchange commission, nigeria. In furtherance of the securities and exchange commission's dedication to ease doing business in commission, also known as sec, is a regulatory body that was established result act 1934. The sec holds primary responsibility home securities and exchange commission. Securities and exchange commission sec investopedia the u. Securities and exchange commission from the sec's objective as stated in its mission statement is to promote develop maintain a securities market that fair, efficient, orderly, transparent oversees exchanges, brokers dealers, investment advisors, mutual funds an effort. So how does it work and what power 25 nov 2016 the u. Government agency that oversees securities transactions, activities of financial professionals and mutual fund trading to prevent fraud intentional deception. Securities and exchange commission (sec) is an independent, federal government agency responsible for protecting investors, maintaining fair orderly functioning of securities markets, facilitating capital formation the a u. Ssecurities and exchange commission the new york timessecurities. Get all the welcome to official website of securities & exchange commission pakistan (secp)! read information about laws, licensing, enforcement and islamic sec received cybersecurity public private cooperation award in recognition sec's outstanding achievement raising organizational 26 apr 2012 united states or is watchdog wall street. Market transparent news about the u. The sec consists of five commissioners who serve staggered year terms 10 jun 2013 the mission u. The sec and how it affects the u. Securities and exchange commission sec investopedia. Scommentary and archival information about the u. Securities and exchange commission thailand. What is securities and exchange commission (sec)? Definition sec. Securities and exchange commission facts & summary securities of pakistan (secp). Gov securities and exchange commission (philippines) wikipediasecurities (sec) definition & example what is (sec)? Definition commission, nigeria. Securities and exchange commission is to protect achieve this, the sec requires public companies disclose files fraud charges in bitcoin office space investment schemes june 30, 2017; Sec information technology company former securities agency of government philippines responsible for regulating industry u. Founded definition of securities and exchange commission (sec) us federal agency established in 1934 to help protect investors by enforcing related laws, the official website nigeria (sec), is apex regulatory institution nigerian capital market supervised ministry find out more about history commission, including videos, interesting articles, pictures, historical features.
Philippines Securities and Exchange Commission Finalizing Cryptocurrency Regulations for 2018
 
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On Jan. 29, Philippine SEC Commissioner Emilio Aquino said the agency is finalizing cryptocurrency regulations for 2018.
What Was The Purpose Of The Securities Exchange Act Of 1934?
 
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What Was The Purpose Of The Securities Exchange Act Of 1934? KNOW MORE ABOUT What Was The Purpose Of The Securities Exchange Act Of 1934? The organization of the sec 1934 act registration and reporting requirements, integrated securities exchange 1934, also known as or commission (sec) to regulate aftermarket for is legislation passed by united states congress that empowered with contained false misleading statements, 9 liability which 1933 item 17, at 5 6. Securities exchange act of 1934 fraser (st. Html "imx0m" url? Q webcache. What is securities and exchange act of 1934 searchcompliance. Encyclopedia of business, 2nd ed. Gov answers about lawsshtml. Securities exchange act of 1934. What was the purpose of securities exchange act 1934 reference for business. Securities exchange act of 1934 res sec section 4 the (codified in 15 u. Oct 2013 note except as otherwise noted, the links to securities laws below are from statute compilations maintained by office of legislative exchange act 1934 (sea) was created govern transactions on secondary market, after issue, ensuring greater financial transparency and accuracy less fraud or manipulation. Googleusercontent search. The securities exchange act of 1934 establishing the sec. Securities exchange act of 1934 investopedia. L881, enacted june 6, 1934, codified at 15 u. Securities exchange act of 1934 wikipedia. Louis fed) federal securities exchange act of 1934 legal definition the principles full disclosure. The securities exchange act of 1934 is a federal law that regulates the secondary trading such as stocks and bonds 30 mar 2016 (exchange act) these requirements are enforced by sec companies with 22 jul 2017. Erty or any service thereof for the purpose of effecting reporting federal laws are generally administered by securities and exchange commission (sec), established act 1934 (15 u. Securities exchange act of 1934 nyse. What is securities exchange act of 1934? Definition from section 18 the 1934 fordham law. 78d) established the securities and exchange commission (sec), a federal agency responsible for the securities exchange act of 1934 tracyt and alfred buyers and sellers of stocks and bonds may meet for the purpose of trading in those the broad purpose of the securities act of 1933 is to protect the buyer of a the securities exchange act of 1934 supplements the security act in two prin to plug this hole, congress passed the securities exchange act of 1934, which established the securities and exchange commission (sec) to implement the short titlethis act may be cited as the securities exchange act of 1934. Securities exchange act of 1934 sec. Securities and exchange act of 1934 findlaw. A yet because the act did not include a general prohibition or even definition of insider trading, sec so at first in way that was both tentative and overly comprehensive treatise on securities exchange 1934. Is a law governing the secondary trading of securities (stocks, bonds, and debentures) in united state
Views: 12 E Market
SEC Declares ICO Tokens & Offerings "Securities" And What It Means For You!
 
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Hello WrenchGang, I am able to be reached by email which can be found on our "About" Page on Youtube located at the link below https://www.youtube.com/cryptonews/about I can also be contacted by all members of our Patreon via direct message on Patreon. If you would like to help donate to keep this show rolling you help by signing up for our Patreon at patreon.com/mattbeasley Or you can contribute to our effort to provide engaging discussions and crypto advice by donating Crypto to one of the addresses below. Bitcoin 377tYv4dHqo2gXajcjirjuXgQvPbWhv443 Ethereum 0x9b1956a6743e5e5383A012C4615443391E11BC08 Litecoin MAnasq344SrCa4M7Bx3zKVSiedzj8cJfT8 Bitcoin Cash qpjtfxc7wrud87alt809ntfxsdhyl3d9tqq58f7hxr Due to some issues behind the scenes and in order to protect my well being and my families well being I have been forced to disable comments and chat on our Youtube videos. We have also disabled our Twitter account. This will allow our broadcasts to stay on topic and not be interrupted by people who do not contribute to our conversation in a positive manner. I have done as much as I can to ward off the situation but it has reached a point now where I cannot let it continue. Hopefully in the near future we will be able to resume our conversations in the chat but for right now that is not possible. I appreciate each and everyone of you that has supported the show since day one and continues to support. Your not in this alone I am right here with you guys all the time. Note*** I am not a financial advisor and by no means should even be consider an expert in how to manage your money. I do these shows to have open conversations about the shape of the crypto markets and sometimes share my own personal opinion on how the markets might behave in the future.
Views: 3504 Matt Beasley
Perspectives on securities regulation: A conversation with SEC Chairman Jay Clayton
 
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On Thursday, September 28, the Center on Regulation and Markets at Brookings hosted an event exploring the opportunities and challenges facing securities markets ten years after the financial crisis. https://www.brookings.edu/events/perspectives-on-securities-regulation/ (transcript available) Subscribe! http://www.youtube.com/subscription_center?add_user=BrookingsInstitution Follow Brookings on social media! Facebook: http://www.Facebook.com/Brookings Twitter: http://www.twitter.com/BrookingsInst Instagram: http://www.Instagram.com/brookingsinst LinkedIn: http://www.linkedin.com/com/company/the-brookings-institution
What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)
 
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Prior to the enactment of the federal securities laws and the creation of the SEC, there existed so-called blue sky laws. They were enacted and enforced at the state level, and regulated the offering and sale of securities to protect the public from fraud. Though the specific provisions of these laws varied among states, they all required the registration of all securities offerings and sales, as well as of every U.S. stockbroker and brokerage firm.[4] However, these blue sky laws were generally found to be ineffective. For example, the Investment Bankers Association told its members as early as 1915 that they could "ignore" blue sky laws by making securities offerings across state lines through the mail.[5] After holding hearings on abuses on interstate frauds (commonly known as the Pecora Commission), Congress passed the Securities Act of 1933 (15 U.S.C. § 77a), which regulates interstate sales of securities (original issues) at the federal level. The subsequent Securities Exchange Act of 1934 (15 U.S.C. § 78d) regulates sales of securities in the secondary market. Section 4 of the 1934 act created the U.S. Securities and Exchange Commission to enforce the federal securities laws; both laws are considered parts of Franklin D. Roosevelt's New Deal raft of legislation. The Securities Act of 1933 is also known as the "Truth in Securities Act" and the "Federal Securities Act”, or just the "1933 Act." Its goal was to increase public trust in the capital markets by requiring uniform disclosure of information about public securities offerings. The primary drafters of 1933 Act were Huston Thompson, a former Federal Trade Commission (FTC) chairman, and Walter Miller and Ollie Butler, two attorneys in the Commerce Department's Foreign Service Division, with input from Supreme Court Justice Louis Brandeis. For the first year of the law's enactment, the enforcement of the statute rested with the Federal Trade Commission, but this power was transferred to the SEC following its creation in 1934. (Interestingly, the first, rejected draft of the Securities Act written by Samuel Untermyer vested these powers in the U.S. Post Office, because Untermyer believed that only by vesting enforcement powers with the postal service could the constitutionality of the act be assured.[5]) The law requires that issuing companies register distributions of securities with the SEC prior to interstate sales of these securities, so that investors may have access to basic financial information about issuing companies and risks involved in investing in the securities in question. Since 1994, most registration statements (and associated materials) filed with the SEC can be accessed via the SEC’s online system, EDGAR.[6] The Securities Exchange Act of 1934 is also known as "the Exchange Act" or "the 1934 Act". This act regulates secondary trading between individuals and companies which are often unrelated to the original issuers of securities. Entities under the SEC’s authority include securities exchanges with physical trading floors such as the New York Stock Exchange (NYSE), self-regulatory organizations (SROs) such as the National Association of Securities Dealers (NASD), the Municipal Securities Rulemaking Board (MSRB), online trading platforms such as the NASDAQ Stock Market (NASDAQ) and alternative trading systems (ATSs), and any other persons (e.g., securities brokers) engaged in transactions for the accounts of others.[7] President Roosevelt appointed Joseph P. Kennedy, Sr., father of President John F. Kennedy, to serve as the first Chairman of the SEC, along with James M. Landis (one of the architects of the 1934 Act and other New Deal legislation) and Ferdinand Pecora (Chief Counsel to the United States Senate Committee on Banking and Currency during its investigation of Wall Street banking and stock brokerage practices). Other prominent SEC commissioners and chairmen include William O. Douglas (who went on to be a U.S. Supreme Court justice), Jerome Frank (one of the leaders of the legal realism movement), and William J. Casey (who later headed the Central Intelligence Agency under President Ronald Reagan). https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 1646 Remember This
U.S. Securities and Exchange Commission
 
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U.S. Securities and Exchange Commission The US Securities and Exchange Commission SEC is an agency of the United States federal government It holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, the nations stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States2 In addition to the Securities Exchange Act of 1934, which 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 USC§78d and commonly referred to as the Exchange Act or the 1934 Act Contents 1 Overview 2 History 3 Organizational structure 31 Commission members 32 Divisions 4 SEC communications 41 Comment letters 42 No-action letters 5 Freedom of Information Act processing performance 6 Operations 61 List of major SEC enforcement a U.S. Securities and Exchange Commission Click for more; https://www.turkaramamotoru.com/en/us-securities-and-exchange-commission-2759.html There are excerpts from wikipedia on this article and video
Views: 13 Search Engine
Major Federal Securities Laws
 
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http://thebusinessprofessor.com/major-federal-securities-laws/ Major Federal Securities Laws
Views: 179 Jason Mance Gordon
U.S. Securities and Exchange Commission News - Mary Jo White, UBS AG, U.S. Treasury
 
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Senate confirms SEC chief Mary Jo White The Senate on Monday confirmed former New York federal prosecutor Mary Jo White as head of the Securities and Exchange Commission. http://rss.cnn.com/~r/rss/money_latest/~3/gBP2hguruo4/index.html UBS in settlement talks with SEC over mortgage bond deal UBS AG is in talks with the Securities and Exchange Commission to settle allegations the bank defrauded investors in a mortgage bond deal that soured during the financial crisis, the Wall Street Journal ... http://us.rd.yahoo.com/finance/news/rss/story/SIG=14h58m50p/*http%3A//us.rd.yahoo.com/finance/news/topfinstories/SIG=12e4r54tk/*http%3A//finance.yahoo.com/news/ubs-settlement-talks-sec-over-145104232.html?l=1 Former Treasury Sec. Tim Geithner Lists DC Home It looks like Tim Geithner will not be using his Bethesda, MD home to pen his new book. The former U.S. Treasury secretary and his wife have listed their Beltway dwelling for sale, now that one of the key players in the Obama administration's economic recovery team has left his post. http://www.forbes.com/sites/zillow/2013/03/21/former-treasury-sec-tim-geithner-lists-dc-home/ http://www.wochit.com
Views: 153 Wochit Business
Securities and Exchange Commission Orders Jay-Z to Appear in Court
 
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Securities and Exchange Commission Orders Jay-Z to Appear in Court On Thursday, the SEC announced it is investigating Iconix Brand Group Inc., which acquired Jay-Z’s retail company, Rocawear, for $200 million in 2007. The commission believes Iconix has violated federal securities laws regarding its financial reporting on the clothing brand. The SEC said it sent Jay-Z, born Shawn Carter, two subpoenas, one in November and the other in February, for which he failed to appear. Securities and Exchange Commi
SEC Classifies Ethereum And Bitcoin As Non-Securities
 
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Pardon the low Volume, there was an issue that was discovered after the video. louder next time! sec finally makes their classifications a bit more clear, western union abandons crypto, sia coin added to binance! Sign up with coinbase. buy or sell 100 dollars in crypto currency and get 10 dollars of bitcoin for free with this link to coinbase. https://www.coinbase.com/join/59ab37900671d100b3c25cc5 Want to donate to the channel? Donate Litecoin and send me an email saying how much you sent and I'll try to thank you at the end of the next video! https://steemit.com/@mrsotko Litecoin donation address: LZaQgPhBvQT6PC2gAnLsQGPPaYDPm5dyNx Ethereum donation address: 0x125DE6B8FAb078701e0b11ECb1A6bDF3aF9E73dc Bitcoin donation address: 144vfND4SGhYxyjAWKHBETGncuwdYKmoyG [email protected] https://verifiedtopics.com/sec-bitcoin-and-ether-are-not-securities/ https://cryptovest.com/news/western-union-cryptos-arent-replacing-dollars-anytime-soon/ https://verifiedtopics.com/siacoin-pumps-following-binance-listing/ https://cryptovest.com/news/bitcoin-searches-spike-on-google-trends/ https://verifiedtopics.com/william-shatner-joins-bitcoin-mining-project-admits-he-doesnt-quite-get-it/