- published: 14 Feb 2013
- views: 19755
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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!
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/
What is the Securities and Exchange Commission?
- published: 10 Jun 2016
- views: 63
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.
- published: 17 Feb 2015
- views: 2828
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
- published: 17 Nov 2015
- views: 2526
In a post stock market crash commercial, I tell you everything that you need to know about the Security and Exchange Commission (SEC) implemented by Franklin D. Roosevelt. Beware of the over exaggerated personalities and expressions. I hope you all enjoy my not so good attempt at being funny... Watching this video will only take... you guessed it... A "SEC"
- published: 06 Apr 2015
- views: 227
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.
- published: 15 Aug 2014
- views: 13545
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations.
#SEBI
Securities Exchange Board of India (SEBI) was set up in 1988 to regulate the functions of securities market but it was not able to exercise complete control over the stock market transactions.
It became an autonomous body by The Government of India on 12 April 1992 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament.
SEBI has its Head Quarters at the business district of Bandra Kurla Complex in Mumbai, and has regional offices in New Delhi, Kolkata, Chennai and Ahmedabad.
SEBI is managed by the following members of the board:
• The Chairman who is nominated by the Union Government of India.
Shri U. K. Sinha, Chairman, SEBI
• Two members from the Union Finance Ministry
• One member from the Reserve Bank of India
• The remaining 5 members are nominated by the Union Government of India,
PREAMBLE (introduction)
The Preamble of the Securities and Exchange Board of India describes the basic functions of the Securities and Exchange Board of India as
"...to protect the interests of investors in securities and to promote the development of, and to regulate the securities market and for matters connected therewith or incidental thereto"
Purpose and Role of SEBI:
SEBI was set up with the main purpose of keeping a check on malpractices and protect the interest of investors. It was set up to meet the needs of three groups.
1. Issuers:
For issuers it provides a market place in which they can raise finance fairly and easily.
2. Investors:
For investors it provides protection and supply of accurate and correct information.
3. Intermediaries:
For intermediaries it provides a competitive professional market.
Functions of SEBI:
i. Protective functions
ii. Developmental functions
iii. Regulatory functions.
1. Protective Functions:
(i) It Checks Price Rigging:
(ii) It Prohibits Insider trading:
(iii) SEBI prohibits fraudulent and Unfair Trade Practices:
(iv) SEBI undertakes steps to educate investors
2. Developmental Functions:
(i) SEBI promotes training of intermediaries of the securities market.
(ii) SEBI tries to promote activities of stock exchange by adopting flexible and adoptable approach in following way:
(a) SEBI has permitted internet trading through registered stock brokers.
(b) SEBI has made underwriting optional to reduce the cost of issue.
(c) Even initial public offer of primary market is permitted through stock exchange.
3. Regulatory Functions:
(i) SEBI has framed rules and regulations and a code of conduct to regulate the intermediaries such as merchant bankers, brokers, underwriters, etc.
(ii) These intermediaries have been brought under the regulatory purview and private placement has been made more restrictive.
(iii) SEBI registers and regulates the working of stock brokers, sub-brokers, share transfer agents, trustees, merchant bankers and all those who are associated with stock exchange in any manner.
(iv) SEBI registers and regulates the working of mutual funds etc.
(v) SEBI regulates takeover of the companies.
(vi) SEBI conducts inquiries and audit of stock exchanges.
- published: 10 Feb 2017
- views: 18307
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
- published: 30 Oct 2008
- views: 1630
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
- published: 08 Dec 2015
- views: 1279
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
- published: 16 Nov 2015
- views: 118
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.
- published: 20 Jul 2017
- views: 0
U.S. Securities and Exchange Commission
The U.S. 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 nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States.
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 U.S.C. § 78d and commonly referred to as the Exchange Act or the 1934 Act).
Overview
The SEC has a three-part mission: to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation.
This page contains text from Wikipedia, the Free Encyclopedia -
https://wn.com/U.S._Securities_and_Exchange_Commission
This article is licensed under the Creative Commons Attribution-ShareAlike 3.0 Unported License, which means that you can copy and modify it as long as the entire work (including additions) remains under this license.
This article is licensed under the Creative Commons Attribution-ShareAlike 3.0 Unported License, which means that you can copy and modify it as long as the entire work (including additions) remains under this license.
Exchange
Exchange may refer to:
Places
Business and economy
This page contains text from Wikipedia, the Free Encyclopedia -
https://wn.com/Exchange
This article is licensed under the Creative Commons Attribution-ShareAlike 3.0 Unported License, which means that you can copy and modify it as long as the entire work (including additions) remains under this license.
This article is licensed under the Creative Commons Attribution-ShareAlike 3.0 Unported License, which means that you can copy and modify it as long as the entire work (including additions) remains under this license.
Security
Security is the degree of resistance to, or protection from, harm. It applies to any vulnerable and valuable asset, such as a person, dwelling, community, item, nation, or organization.
As noted by the Institute for Security and Open Methodologies (ISECOM) in the OSSTMM 3, security provides "a form of protection where a separation is created between the assets and the threat." These separations are generically called "controls," and sometimes include changes to the asset or the threat.
Security has two dialogues. Negative dialogue is about danger, risk, threat and etc. Positive dialogue is about opportunities, Interests, profits and etc. Negative dialogue needs military equipment, armies, police. Positive dialogue needs social capital, Education, social interaction.
Perceived security compared to real security
Perception of security may be poorly mapped to measureable objective security. For example, the fear of earthquakes has been reported to be more common than the fear of slipping on the bathroom floor although the latter kills many more people than the former. Similarly, the perceived effectiveness of security measures is sometimes different from the actual security provided by those measures. The presence of security protections may even be taken for security itself. For example, two computer security programs could be interfering with each other and even cancelling each other's effect, while the owner believes s/he is getting double the protection.
This page contains text from Wikipedia, the Free Encyclopedia -
https://wn.com/Security
This article is licensed under the Creative Commons Attribution-ShareAlike 3.0 Unported License, which means that you can copy and modify it as long as the entire work (including additions) remains under this license.
This article is licensed under the Creative Commons Attribution-ShareAlike 3.0 Unported License, which means that you can copy and modify it as long as the entire work (including additions) remains under this license.
SEC
Sec (wine), is a French term used to indicate the sweetness level of a wine.
SEC, Sec, or Seč may also refer to:
Companies
Education
Government
Mathematics
Secant is a term in mathematics derived from the Latin secare ("to cut"). It may refer to:
This page contains text from Wikipedia, the Free Encyclopedia -
https://wn.com/SEC
This article is licensed under the Creative Commons Attribution-ShareAlike 3.0 Unported License, which means that you can copy and modify it as long as the entire work (including additions) remains under this license.
This article is licensed under the Creative Commons Attribution-ShareAlike 3.0 Unported License, which means that you can copy and modify it as long as the entire work (including additions) remains under this license.
Commission
Commission may refer to:
- Project commissioning, the process of assuring that all systems and components of a building or industrial plant are designed, installed, tested, operated, and maintained according to the operational requirements of the owner or final client
- Building commissioning, a quality assurance process during and following building construction
This page contains text from Wikipedia, the Free Encyclopedia -
https://wn.com/Commission
This article is licensed under the Creative Commons Attribution-ShareAlike 3.0 Unported License, which means that you can copy and modify it as long as the entire work (including additions) remains under this license.
This article is licensed under the Creative Commons Attribution-ShareAlike 3.0 Unported License, which means that you can copy and modify it as long as the entire work (including additions) remains under this license.
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2:41What does The Securities and Exchange Commission do?
What does The Securities and Exchange Commission do?What does The Securities and Exchange Commission do?
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! -
2:02What is the Securities and Exchange Commission?
What is the Securities and Exchange Commission?What is the Securities and Exchange Commission?
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/ What is the Securities and Exchange Commission? -
3:01SEC - The United States Securities And Exchange Commission
SEC - The United States Securities And Exchange CommissionSEC - The United States Securities And Exchange Commission
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. -
1:02Securities And Exchange Commission
Securities And Exchange Commission -
30:14What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
What Is the Securities & Exchange Commission? Is It Effective? U.S. FinanceWhat Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
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 -
2:15Security and Exchange Commission (SEC)
Security and Exchange Commission (SEC)Security and Exchange Commission (SEC)
In a post stock market crash commercial, I tell you everything that you need to know about the Security and Exchange Commission (SEC) implemented by Franklin D. Roosevelt. Beware of the over exaggerated personalities and expressions. I hope you all enjoy my not so good attempt at being funny... Watching this video will only take... you guessed it... A "SEC" -
6:13I called the Securities & Exchange Commission. What they told me was SHOCKING !
I called the Securities & Exchange Commission. What they told me was SHOCKING !I called the Securities & Exchange Commission. What they told me was SHOCKING !
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. -
7:07SEBI | Securities and Exchange Board of India | all about SEBI
SEBI | Securities and Exchange Board of India | all about SEBISEBI | Securities and Exchange Board of India | all about SEBI
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations. #SEBI Securities Exchange Board of India (SEBI) was set up in 1988 to regulate the functions of securities market but it was not able to exercise complete control over the stock market transactions. It became an autonomous body by The Government of India on 12 April 1992 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament. SEBI has its Head Quarters at the business district of Bandra Kurla Complex in Mumbai, and has regional offices in New Delhi, Kolkata, Chennai and Ahmedabad. SEBI is managed by the following members of the board: • The Chairman who is nominated by the Union Government of India. Shri U. K. Sinha, Chairman, SEBI • Two members from the Union Finance Ministry • One member from the Reserve Bank of India • The remaining 5 members are nominated by the Union Government of India, PREAMBLE (introduction) The Preamble of the Securities and Exchange Board of India describes the basic functions of the Securities and Exchange Board of India as "...to protect the interests of investors in securities and to promote the development of, and to regulate the securities market and for matters connected therewith or incidental thereto" Purpose and Role of SEBI: SEBI was set up with the main purpose of keeping a check on malpractices and protect the interest of investors. It was set up to meet the needs of three groups. 1. Issuers: For issuers it provides a market place in which they can raise finance fairly and easily. 2. Investors: For investors it provides protection and supply of accurate and correct information. 3. Intermediaries: For intermediaries it provides a competitive professional market. Functions of SEBI: i. Protective functions ii. Developmental functions iii. Regulatory functions. 1. Protective Functions: (i) It Checks Price Rigging: (ii) It Prohibits Insider trading: (iii) SEBI prohibits fraudulent and Unfair Trade Practices: (iv) SEBI undertakes steps to educate investors 2. Developmental Functions: (i) SEBI promotes training of intermediaries of the securities market. (ii) SEBI tries to promote activities of stock exchange by adopting flexible and adoptable approach in following way: (a) SEBI has permitted internet trading through registered stock brokers. (b) SEBI has made underwriting optional to reduce the cost of issue. (c) Even initial public offer of primary market is permitted through stock exchange. 3. Regulatory Functions: (i) SEBI has framed rules and regulations and a code of conduct to regulate the intermediaries such as merchant bankers, brokers, underwriters, etc. (ii) These intermediaries have been brought under the regulatory purview and private placement has been made more restrictive. (iii) SEBI registers and regulates the working of stock brokers, sub-brokers, share transfer agents, trustees, merchant bankers and all those who are associated with stock exchange in any manner. (iv) SEBI registers and regulates the working of mutual funds etc. (v) SEBI regulates takeover of the companies. (vi) SEBI conducts inquiries and audit of stock exchanges. -
1:37Personal Finance : What Is the Securities & Exchange Commission (SEC)?
Personal Finance : What Is the Securities & Exchange Commission (SEC)?Personal Finance : What Is the Securities & Exchange Commission (SEC)?
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 -
2:35Securities and Exchange Commission (Philippines)
Securities and Exchange Commission (Philippines)Securities and Exchange Commission (Philippines)
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 -
31:34What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
What Does the Securities and Exchange Commission Regulate? Priorities of the SECWhat Does the Securities and Exchange Commission Regulate? Priorities of the SEC
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 -
0:47What Is The Securities And Exchange Commission?
What Is The Securities And Exchange Commission?What Is The Securities And Exchange Commission?
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. -
0:37Securities And Exchange Board Of India
Securities And Exchange Board Of India -
6:19The Arrogance of the Securities and Exchange Commission
The Arrogance of the Securities and Exchange CommissionThe Arrogance of the Securities and Exchange Commission
Financial Services Committee "Assessing the Madoff Ponzi Scheme and Regulatory Failures" Chairman, Paul Kanjorski - statements after morning recess
-
What does The Securities and Exchange Commission do?
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"...
published: 14 Feb 2013 -
What is the Securities and Exchange Commission?
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/ What is the Securities and Exchange Commission?
published: 10 Jun 2016 -
SEC - The United States Securities And Exchange Commission
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.
published: 17 Feb 2015 -
Securities And Exchange Commission
An Easy Overview Of The Securities And Exchange Commission
published: 06 Nov 2012 -
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
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 operat...
published: 17 Nov 2015 -
Security and Exchange Commission (SEC)
In a post stock market crash commercial, I tell you everything that you need to know about the Security and Exchange Commission (SEC) implemented by Franklin D. Roosevelt. Beware of the over exaggerated personalities and expressions. I hope you all enjoy my not so good attempt at being funny... Watching this video will only take... you guessed it... A "SEC"
published: 06 Apr 2015 -
I called the Securities & Exchange Commission. What they told me was SHOCKING !
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.
published: 15 Aug 2014 -
SEBI | Securities and Exchange Board of India | all about SEBI
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations. #SEBI Securities Exchange Board of India (SEBI) was set up in 1988 to regulate the functions of securities market but it was not able to exercise complete control over the stock market transactions. It became an autonomous body by The Government of India on 12 April 1992 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament. SEBI has its Head Quarters at the business district of Bandra Kurla Complex in Mumbai, and has regional offices in New...
published: 10 Feb 2017 -
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
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
published: 30 Oct 2008 -
Securities and Exchange Commission (Philippines)
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
published: 08 Dec 2015 -
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
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...
published: 16 Nov 2015 -
What Is The Securities And Exchange Commission?
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 th...
published: 20 Jul 2017 -
-
The Arrogance of the Securities and Exchange Commission
Financial Services Committee "Assessing the Madoff Ponzi Scheme and Regulatory Failures" Chairman, Paul Kanjorski - statements after morning recess
published: 20 Oct 2010 -
1 Sexist at the Securities and Exchange Commission, Alex J Rue
Senior Trial Counsel for the Securities and Exchange Commission, James Alexander Rue, apologizes for calling "all wives disciples of the devil", at a SEC deposition
published: 17 Sep 2010 -
What does The Securities and Exchange Commission do?
- Order: Reorder
- Duration: 2:41
- Updated: 14 Feb 2013
- views: 19755
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" a...
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!
https://wn.com/What_Does_The_Securities_And_Exchange_Commission_Do
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!
- published: 14 Feb 2013
- views: 19755
What is the Securities and Exchange Commission?
- Order: Reorder
- Duration: 2:02
- Updated: 10 Jun 2016
- views: 63
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/
What is the Securities and Exchange Commission?
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/
What is the Securities and Exchange Commission?
https://wn.com/What_Is_The_Securities_And_Exchange_Commission
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/
What is the Securities and Exchange Commission?
- published: 10 Jun 2016
- views: 63
SEC - The United States Securities And Exchange Commission
- Order: Reorder
- Duration: 3:01
- Updated: 17 Feb 2015
- views: 2828
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 servic...
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.
https://wn.com/Sec_The_United_States_Securities_And_Exchange_Commission
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.
- published: 17 Feb 2015
- views: 2828
Securities And Exchange Commission
- Order: Reorder
- Duration: 1:02
- Updated: 06 Nov 2012
- views: 1869
An Easy Overview Of The Securities And Exchange Commission
An Easy Overview Of The Securities And Exchange Commission
https://wn.com/Securities_And_Exchange_Commission
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
- Order: Reorder
- Duration: 30:14
- Updated: 17 Nov 2015
- views: 2526
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]
C...
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
https://wn.com/What_Is_The_Securities_Exchange_Commission_Is_It_Effective_U.S._Finance
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
- published: 17 Nov 2015
- views: 2526
Security and Exchange Commission (SEC)
- Order: Reorder
- Duration: 2:15
- Updated: 06 Apr 2015
- views: 227
In a post stock market crash commercial, I tell you everything that you need to know about the Security and Exchange Commission (SEC) implemented by Franklin D....
In a post stock market crash commercial, I tell you everything that you need to know about the Security and Exchange Commission (SEC) implemented by Franklin D. Roosevelt. Beware of the over exaggerated personalities and expressions. I hope you all enjoy my not so good attempt at being funny... Watching this video will only take... you guessed it... A "SEC"
https://wn.com/Security_And_Exchange_Commission_(Sec)
In a post stock market crash commercial, I tell you everything that you need to know about the Security and Exchange Commission (SEC) implemented by Franklin D. Roosevelt. Beware of the over exaggerated personalities and expressions. I hope you all enjoy my not so good attempt at being funny... Watching this video will only take... you guessed it... A "SEC"
- published: 06 Apr 2015
- views: 227
I called the Securities & Exchange Commission. What they told me was SHOCKING !
- Order: Reorder
- Duration: 6:13
- Updated: 15 Aug 2014
- views: 13545
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 i...
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.
https://wn.com/I_Called_The_Securities_Exchange_Commission._What_They_Told_Me_Was_Shocking
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.
- published: 15 Aug 2014
- views: 13545
SEBI | Securities and Exchange Board of India | all about SEBI
- Order: Reorder
- Duration: 7:07
- Updated: 10 Feb 2017
- views: 18307
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams,...
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations.
#SEBI
Securities Exchange Board of India (SEBI) was set up in 1988 to regulate the functions of securities market but it was not able to exercise complete control over the stock market transactions.
It became an autonomous body by The Government of India on 12 April 1992 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament.
SEBI has its Head Quarters at the business district of Bandra Kurla Complex in Mumbai, and has regional offices in New Delhi, Kolkata, Chennai and Ahmedabad.
SEBI is managed by the following members of the board:
• The Chairman who is nominated by the Union Government of India.
Shri U. K. Sinha, Chairman, SEBI
• Two members from the Union Finance Ministry
• One member from the Reserve Bank of India
• The remaining 5 members are nominated by the Union Government of India,
PREAMBLE (introduction)
The Preamble of the Securities and Exchange Board of India describes the basic functions of the Securities and Exchange Board of India as
"...to protect the interests of investors in securities and to promote the development of, and to regulate the securities market and for matters connected therewith or incidental thereto"
Purpose and Role of SEBI:
SEBI was set up with the main purpose of keeping a check on malpractices and protect the interest of investors. It was set up to meet the needs of three groups.
1. Issuers:
For issuers it provides a market place in which they can raise finance fairly and easily.
2. Investors:
For investors it provides protection and supply of accurate and correct information.
3. Intermediaries:
For intermediaries it provides a competitive professional market.
Functions of SEBI:
i. Protective functions
ii. Developmental functions
iii. Regulatory functions.
1. Protective Functions:
(i) It Checks Price Rigging:
(ii) It Prohibits Insider trading:
(iii) SEBI prohibits fraudulent and Unfair Trade Practices:
(iv) SEBI undertakes steps to educate investors
2. Developmental Functions:
(i) SEBI promotes training of intermediaries of the securities market.
(ii) SEBI tries to promote activities of stock exchange by adopting flexible and adoptable approach in following way:
(a) SEBI has permitted internet trading through registered stock brokers.
(b) SEBI has made underwriting optional to reduce the cost of issue.
(c) Even initial public offer of primary market is permitted through stock exchange.
3. Regulatory Functions:
(i) SEBI has framed rules and regulations and a code of conduct to regulate the intermediaries such as merchant bankers, brokers, underwriters, etc.
(ii) These intermediaries have been brought under the regulatory purview and private placement has been made more restrictive.
(iii) SEBI registers and regulates the working of stock brokers, sub-brokers, share transfer agents, trustees, merchant bankers and all those who are associated with stock exchange in any manner.
(iv) SEBI registers and regulates the working of mutual funds etc.
(v) SEBI regulates takeover of the companies.
(vi) SEBI conducts inquiries and audit of stock exchanges.
https://wn.com/Sebi_|_Securities_And_Exchange_Board_Of_India_|_All_About_Sebi
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations.
#SEBI
Securities Exchange Board of India (SEBI) was set up in 1988 to regulate the functions of securities market but it was not able to exercise complete control over the stock market transactions.
It became an autonomous body by The Government of India on 12 April 1992 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament.
SEBI has its Head Quarters at the business district of Bandra Kurla Complex in Mumbai, and has regional offices in New Delhi, Kolkata, Chennai and Ahmedabad.
SEBI is managed by the following members of the board:
• The Chairman who is nominated by the Union Government of India.
Shri U. K. Sinha, Chairman, SEBI
• Two members from the Union Finance Ministry
• One member from the Reserve Bank of India
• The remaining 5 members are nominated by the Union Government of India,
PREAMBLE (introduction)
The Preamble of the Securities and Exchange Board of India describes the basic functions of the Securities and Exchange Board of India as
"...to protect the interests of investors in securities and to promote the development of, and to regulate the securities market and for matters connected therewith or incidental thereto"
Purpose and Role of SEBI:
SEBI was set up with the main purpose of keeping a check on malpractices and protect the interest of investors. It was set up to meet the needs of three groups.
1. Issuers:
For issuers it provides a market place in which they can raise finance fairly and easily.
2. Investors:
For investors it provides protection and supply of accurate and correct information.
3. Intermediaries:
For intermediaries it provides a competitive professional market.
Functions of SEBI:
i. Protective functions
ii. Developmental functions
iii. Regulatory functions.
1. Protective Functions:
(i) It Checks Price Rigging:
(ii) It Prohibits Insider trading:
(iii) SEBI prohibits fraudulent and Unfair Trade Practices:
(iv) SEBI undertakes steps to educate investors
2. Developmental Functions:
(i) SEBI promotes training of intermediaries of the securities market.
(ii) SEBI tries to promote activities of stock exchange by adopting flexible and adoptable approach in following way:
(a) SEBI has permitted internet trading through registered stock brokers.
(b) SEBI has made underwriting optional to reduce the cost of issue.
(c) Even initial public offer of primary market is permitted through stock exchange.
3. Regulatory Functions:
(i) SEBI has framed rules and regulations and a code of conduct to regulate the intermediaries such as merchant bankers, brokers, underwriters, etc.
(ii) These intermediaries have been brought under the regulatory purview and private placement has been made more restrictive.
(iii) SEBI registers and regulates the working of stock brokers, sub-brokers, share transfer agents, trustees, merchant bankers and all those who are associated with stock exchange in any manner.
(iv) SEBI registers and regulates the working of mutual funds etc.
(v) SEBI regulates takeover of the companies.
(vi) SEBI conducts inquiries and audit of stock exchanges.
- published: 10 Feb 2017
- views: 18307
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
- Order: Reorder
- Duration: 1:37
- Updated: 30 Oct 2008
- views: 1630
The Securities and Exchange Commission is a regulatory group for financial advisers. Learn about the Securities and Exchange Commission, or SEC, with informatio...
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
https://wn.com/Personal_Finance_What_Is_The_Securities_Exchange_Commission_(Sec)
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
- published: 30 Oct 2008
- views: 1630
Securities and Exchange Commission (Philippines)
- Order: Reorder
- Duration: 2:35
- Updated: 08 Dec 2015
- views: 1279
See Securities and Exchange Commission for other similarly named organizations in other countries
The Securities and Exchange Commission is the agency of the Go...
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
https://wn.com/Securities_And_Exchange_Commission_(Philippines)
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
- published: 08 Dec 2015
- views: 1279
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
- Order: Reorder
- Duration: 31:34
- Updated: 16 Nov 2015
- views: 118
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...
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
https://wn.com/What_Does_The_Securities_And_Exchange_Commission_Regulate_Priorities_Of_The_Sec
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
- published: 16 Nov 2015
- views: 118
What Is The Securities And Exchange Commission?
- Order: Reorder
- Duration: 0:47
- Updated: 20 Jul 2017
- views: 0
Securities and exchange commission (sec) regulates the stock market, protects investors makes u. Securities and exchange commission (sec) is an independent agen...
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.
https://wn.com/What_Is_The_Securities_And_Exchange_Commission
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.
- published: 20 Jul 2017
- views: 0
Securities And Exchange Board Of India
- Order: Reorder
- Duration: 0:37
- Updated: 06 Nov 2012
- views: 2314
The Arrogance of the Securities and Exchange Commission
- Order: Reorder
- Duration: 6:19
- Updated: 20 Oct 2010
- views: 6720
Financial Services Committee
"Assessing the Madoff Ponzi Scheme and Regulatory Failures"
Chairman, Paul Kanjorski - statements after morning recess
Financial Services Committee
"Assessing the Madoff Ponzi Scheme and Regulatory Failures"
Chairman, Paul Kanjorski - statements after morning recess
https://wn.com/The_Arrogance_Of_The_Securities_And_Exchange_Commission
Financial Services Committee
"Assessing the Madoff Ponzi Scheme and Regulatory Failures"
Chairman, Paul Kanjorski - statements after morning recess
- published: 20 Oct 2010
- views: 6720
1 Sexist at the Securities and Exchange Commission, Alex J Rue
- Order: Reorder
- Duration: 1:01
- Updated: 17 Sep 2010
- views: 1111
Senior Trial Counsel for the Securities and Exchange Commission, James Alexander Rue, apologizes for calling "all wives disciples of the devil", at a SEC deposi...
Senior Trial Counsel for the Securities and Exchange Commission, James Alexander Rue, apologizes for calling "all wives disciples of the devil", at a SEC deposition
https://wn.com/1_Sexist_At_The_Securities_And_Exchange_Commission,_Alex_J_Rue
Senior Trial Counsel for the Securities and Exchange Commission, James Alexander Rue, apologizes for calling "all wives disciples of the devil", at a SEC deposition
- published: 17 Sep 2010
- views: 1111
-
What does The Securities and Exchange Commission do?
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"...
published: 14 Feb 2013 -
What is the Securities and Exchange Commission?
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/ What is the Securities and Exchange Commission?
published: 10 Jun 2016 -
SEC - The United States Securities And Exchange Commission
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.
published: 17 Feb 2015 -
Securities And Exchange Commission
An Easy Overview Of The Securities And Exchange Commission
published: 06 Nov 2012 -
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
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 operat...
published: 17 Nov 2015 -
Security and Exchange Commission (SEC)
In a post stock market crash commercial, I tell you everything that you need to know about the Security and Exchange Commission (SEC) implemented by Franklin D. Roosevelt. Beware of the over exaggerated personalities and expressions. I hope you all enjoy my not so good attempt at being funny... Watching this video will only take... you guessed it... A "SEC"
published: 06 Apr 2015 -
I called the Securities & Exchange Commission. What they told me was SHOCKING !
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.
published: 15 Aug 2014 -
SEBI | Securities and Exchange Board of India | all about SEBI
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations. #SEBI Securities Exchange Board of India (SEBI) was set up in 1988 to regulate the functions of securities market but it was not able to exercise complete control over the stock market transactions. It became an autonomous body by The Government of India on 12 April 1992 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament. SEBI has its Head Quarters at the business district of Bandra Kurla Complex in Mumbai, and has regional offices in New...
published: 10 Feb 2017 -
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
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
published: 30 Oct 2008 -
Securities and Exchange Commission (Philippines)
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
published: 08 Dec 2015
What does The Securities and Exchange Commission do?
- Order: Reorder
- Duration: 2:41
- Updated: 14 Feb 2013
- views: 19755
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" a...
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!
https://wn.com/What_Does_The_Securities_And_Exchange_Commission_Do
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!
- published: 14 Feb 2013
- views: 19755
What is the Securities and Exchange Commission?
- Order: Reorder
- Duration: 2:02
- Updated: 10 Jun 2016
- views: 63
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/
What is the Securities and Exchange Commission?
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/
What is the Securities and Exchange Commission?
https://wn.com/What_Is_The_Securities_And_Exchange_Commission
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/
What is the Securities and Exchange Commission?
- published: 10 Jun 2016
- views: 63
SEC - The United States Securities And Exchange Commission
- Order: Reorder
- Duration: 3:01
- Updated: 17 Feb 2015
- views: 2828
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 servic...
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.
https://wn.com/Sec_The_United_States_Securities_And_Exchange_Commission
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.
- published: 17 Feb 2015
- views: 2828
Securities And Exchange Commission
- Order: Reorder
- Duration: 1:02
- Updated: 06 Nov 2012
- views: 1869
An Easy Overview Of The Securities And Exchange Commission
An Easy Overview Of The Securities And Exchange Commission
https://wn.com/Securities_And_Exchange_Commission
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
- Order: Reorder
- Duration: 30:14
- Updated: 17 Nov 2015
- views: 2526
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]
C...
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
https://wn.com/What_Is_The_Securities_Exchange_Commission_Is_It_Effective_U.S._Finance
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
- published: 17 Nov 2015
- views: 2526
Security and Exchange Commission (SEC)
- Order: Reorder
- Duration: 2:15
- Updated: 06 Apr 2015
- views: 227
In a post stock market crash commercial, I tell you everything that you need to know about the Security and Exchange Commission (SEC) implemented by Franklin D....
In a post stock market crash commercial, I tell you everything that you need to know about the Security and Exchange Commission (SEC) implemented by Franklin D. Roosevelt. Beware of the over exaggerated personalities and expressions. I hope you all enjoy my not so good attempt at being funny... Watching this video will only take... you guessed it... A "SEC"
https://wn.com/Security_And_Exchange_Commission_(Sec)
In a post stock market crash commercial, I tell you everything that you need to know about the Security and Exchange Commission (SEC) implemented by Franklin D. Roosevelt. Beware of the over exaggerated personalities and expressions. I hope you all enjoy my not so good attempt at being funny... Watching this video will only take... you guessed it... A "SEC"
- published: 06 Apr 2015
- views: 227
I called the Securities & Exchange Commission. What they told me was SHOCKING !
- Order: Reorder
- Duration: 6:13
- Updated: 15 Aug 2014
- views: 13545
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 i...
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.
https://wn.com/I_Called_The_Securities_Exchange_Commission._What_They_Told_Me_Was_Shocking
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.
- published: 15 Aug 2014
- views: 13545
SEBI | Securities and Exchange Board of India | all about SEBI
- Order: Reorder
- Duration: 7:07
- Updated: 10 Feb 2017
- views: 18307
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams,...
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations.
#SEBI
Securities Exchange Board of India (SEBI) was set up in 1988 to regulate the functions of securities market but it was not able to exercise complete control over the stock market transactions.
It became an autonomous body by The Government of India on 12 April 1992 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament.
SEBI has its Head Quarters at the business district of Bandra Kurla Complex in Mumbai, and has regional offices in New Delhi, Kolkata, Chennai and Ahmedabad.
SEBI is managed by the following members of the board:
• The Chairman who is nominated by the Union Government of India.
Shri U. K. Sinha, Chairman, SEBI
• Two members from the Union Finance Ministry
• One member from the Reserve Bank of India
• The remaining 5 members are nominated by the Union Government of India,
PREAMBLE (introduction)
The Preamble of the Securities and Exchange Board of India describes the basic functions of the Securities and Exchange Board of India as
"...to protect the interests of investors in securities and to promote the development of, and to regulate the securities market and for matters connected therewith or incidental thereto"
Purpose and Role of SEBI:
SEBI was set up with the main purpose of keeping a check on malpractices and protect the interest of investors. It was set up to meet the needs of three groups.
1. Issuers:
For issuers it provides a market place in which they can raise finance fairly and easily.
2. Investors:
For investors it provides protection and supply of accurate and correct information.
3. Intermediaries:
For intermediaries it provides a competitive professional market.
Functions of SEBI:
i. Protective functions
ii. Developmental functions
iii. Regulatory functions.
1. Protective Functions:
(i) It Checks Price Rigging:
(ii) It Prohibits Insider trading:
(iii) SEBI prohibits fraudulent and Unfair Trade Practices:
(iv) SEBI undertakes steps to educate investors
2. Developmental Functions:
(i) SEBI promotes training of intermediaries of the securities market.
(ii) SEBI tries to promote activities of stock exchange by adopting flexible and adoptable approach in following way:
(a) SEBI has permitted internet trading through registered stock brokers.
(b) SEBI has made underwriting optional to reduce the cost of issue.
(c) Even initial public offer of primary market is permitted through stock exchange.
3. Regulatory Functions:
(i) SEBI has framed rules and regulations and a code of conduct to regulate the intermediaries such as merchant bankers, brokers, underwriters, etc.
(ii) These intermediaries have been brought under the regulatory purview and private placement has been made more restrictive.
(iii) SEBI registers and regulates the working of stock brokers, sub-brokers, share transfer agents, trustees, merchant bankers and all those who are associated with stock exchange in any manner.
(iv) SEBI registers and regulates the working of mutual funds etc.
(v) SEBI regulates takeover of the companies.
(vi) SEBI conducts inquiries and audit of stock exchanges.
https://wn.com/Sebi_|_Securities_And_Exchange_Board_Of_India_|_All_About_Sebi
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations.
#SEBI
Securities Exchange Board of India (SEBI) was set up in 1988 to regulate the functions of securities market but it was not able to exercise complete control over the stock market transactions.
It became an autonomous body by The Government of India on 12 April 1992 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament.
SEBI has its Head Quarters at the business district of Bandra Kurla Complex in Mumbai, and has regional offices in New Delhi, Kolkata, Chennai and Ahmedabad.
SEBI is managed by the following members of the board:
• The Chairman who is nominated by the Union Government of India.
Shri U. K. Sinha, Chairman, SEBI
• Two members from the Union Finance Ministry
• One member from the Reserve Bank of India
• The remaining 5 members are nominated by the Union Government of India,
PREAMBLE (introduction)
The Preamble of the Securities and Exchange Board of India describes the basic functions of the Securities and Exchange Board of India as
"...to protect the interests of investors in securities and to promote the development of, and to regulate the securities market and for matters connected therewith or incidental thereto"
Purpose and Role of SEBI:
SEBI was set up with the main purpose of keeping a check on malpractices and protect the interest of investors. It was set up to meet the needs of three groups.
1. Issuers:
For issuers it provides a market place in which they can raise finance fairly and easily.
2. Investors:
For investors it provides protection and supply of accurate and correct information.
3. Intermediaries:
For intermediaries it provides a competitive professional market.
Functions of SEBI:
i. Protective functions
ii. Developmental functions
iii. Regulatory functions.
1. Protective Functions:
(i) It Checks Price Rigging:
(ii) It Prohibits Insider trading:
(iii) SEBI prohibits fraudulent and Unfair Trade Practices:
(iv) SEBI undertakes steps to educate investors
2. Developmental Functions:
(i) SEBI promotes training of intermediaries of the securities market.
(ii) SEBI tries to promote activities of stock exchange by adopting flexible and adoptable approach in following way:
(a) SEBI has permitted internet trading through registered stock brokers.
(b) SEBI has made underwriting optional to reduce the cost of issue.
(c) Even initial public offer of primary market is permitted through stock exchange.
3. Regulatory Functions:
(i) SEBI has framed rules and regulations and a code of conduct to regulate the intermediaries such as merchant bankers, brokers, underwriters, etc.
(ii) These intermediaries have been brought under the regulatory purview and private placement has been made more restrictive.
(iii) SEBI registers and regulates the working of stock brokers, sub-brokers, share transfer agents, trustees, merchant bankers and all those who are associated with stock exchange in any manner.
(iv) SEBI registers and regulates the working of mutual funds etc.
(v) SEBI regulates takeover of the companies.
(vi) SEBI conducts inquiries and audit of stock exchanges.
- published: 10 Feb 2017
- views: 18307
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
- Order: Reorder
- Duration: 1:37
- Updated: 30 Oct 2008
- views: 1630
The Securities and Exchange Commission is a regulatory group for financial advisers. Learn about the Securities and Exchange Commission, or SEC, with informatio...
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
https://wn.com/Personal_Finance_What_Is_The_Securities_Exchange_Commission_(Sec)
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
- published: 30 Oct 2008
- views: 1630
Securities and Exchange Commission (Philippines)
- Order: Reorder
- Duration: 2:35
- Updated: 08 Dec 2015
- views: 1279
See Securities and Exchange Commission for other similarly named organizations in other countries
The Securities and Exchange Commission is the agency of the Go...
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
https://wn.com/Securities_And_Exchange_Commission_(Philippines)
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
- published: 08 Dec 2015
- views: 1279
-
What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)
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 Peco...
published: 23 Jul 2015 -
Paul Elio presents to the Securities and Exchange Commission
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+.
published: 26 Oct 2016 -
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
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 operat...
published: 17 Nov 2015 -
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
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...
published: 16 Nov 2015 -
live HAI 5/8/17 Whats up with exchange security?
https://twitter.com/HighAltitudeInv https://www.highaltidudeinvesting.com Subscribe
published: 09 May 2017 -
02 - Exchange Server 2016 Deployment
Are you setting up an Exchange Server 2016 environment? In this course, learn to plan and configure the Active Directory infrastructure requirements to support an Exchange Server 2016 organization. Take a look at prerequisites and requirements. Find out how to deploy and configure Exchange 2016 servers for messaging, manage Exchange servers, create recipients in Exchange 2016, and manage mailbox permissions. Plus, see how to set up role-based access and control for your Exchange 2016 environment. NOTE: This course is part of a four-part series on Exchange Server 2016: Microsoft Exchange Server 2016 Infrastructure, Microsoft Exchange Server 2016 Client Access Services, Microsoft Exchange Server 2016 Mailbox Databases, and Microsoft Exchange Server 2016 Transport Services. 1 | Exchange ...
published: 08 Jul 2016 -
U.S. Securities and Exchange Commission
The U.S.Securities and Exchange Commission 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 nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States.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. ---Image-Copyright-and-Permission--- About the author(s): U.S. Government License: Public domain ---Image-Copyright-and-Permission--- This ...
published: 16 Sep 2016 -
Daily update with an in debth look at Safe Exchange Coin SEC & I gets personal.
In today's video I cover: I want it I buy it. Do's & don'ts's of trading and my fundamental trading principles to never break. I randomly tell a personal story. Some tips on trading and how I spot my home run picks. .. & moar! View my writing on Steemit: https://steemit.com/@dhenz Passive Income: http://bit.ly/2qxwnaK - Genesis Mining. Use my code "8g6BEl" & get 3% off every mining upgrade! http://bit.ly/2rjpNWR - BitConnect Lending. My vid on BitConnect - http://bit.ly/2rZyvgc BUY Cryptocurrency: http://bit.ly/2rwderw Exchange Cryptocurrency fast, cheap & safe: http://bit.ly/2qxKRaF Buy BitCoin w/ Credit/Debit Card: http://bit.ly/2qGMjZ9 Join my Ultimate Intermittent Fasting course with half off: http://bit.ly/2mZzTfg Facebook Weight Loss Group: http://bit.ly/2rwR0WH How I lost 10...
published: 05 Jun 2017 -
Get Your Data Security In Shape & Avoid SEC Enforcement
Security is a top priority for the SEC, and its Office of Compliance Inspections and Examinations recently announced it will crack down on investment firms with lax data security controls in 2016. In the wake of rigorous testing, how are you protecting your clients' and firm's information? How are you securing, tracking and revoking data downloaded from data rooms and local file shares, or moved offline by third party collaborators? We're here to help. Join Grant Shirk of Vera's Product Marketing team and Grigoriy Milis, Chief Technology Officer of RFA, a leading IT firm specialized in investment firm compliance to learn how to: * Stay ahead of SEC security requirements by strengthening data security and access controls * Secure your firm's confidential information (quarterly letters, c...
published: 24 Feb 2016 -
06 - Core Solutions Exchange 2013 - 06 Configuring Administrative Security and Auditing
published: 28 Mar 2014
What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)
- Order: Reorder
- Duration: 34:33
- Updated: 23 Jul 2015
- views: 1288
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 ...
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
https://wn.com/What_Does_The_Securities_And_Exchange_Commission_Do_Rules,_Regulations_(1989)
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
- published: 23 Jul 2015
- views: 1288
Paul Elio presents to the Securities and Exchange Commission
- Order: Reorder
- Duration: 51:05
- Updated: 26 Oct 2016
- views: 14407
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 Reg...
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+.
https://wn.com/Paul_Elio_Presents_To_The_Securities_And_Exchange_Commission
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+.
- published: 26 Oct 2016
- views: 14407
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
- Order: Reorder
- Duration: 30:14
- Updated: 17 Nov 2015
- views: 2526
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]
C...
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
https://wn.com/What_Is_The_Securities_Exchange_Commission_Is_It_Effective_U.S._Finance
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
- published: 17 Nov 2015
- views: 2526
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
- Order: Reorder
- Duration: 31:34
- Updated: 16 Nov 2015
- views: 118
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...
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
https://wn.com/What_Does_The_Securities_And_Exchange_Commission_Regulate_Priorities_Of_The_Sec
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
- published: 16 Nov 2015
- views: 118
live HAI 5/8/17 Whats up with exchange security?
- Order: Reorder
- Duration: 28:01
- Updated: 09 May 2017
- views: 2225
https://twitter.com/HighAltitudeInv
https://www.highaltidudeinvesting.com
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https://wn.com/Live_Hai_5_8_17_Whats_Up_With_Exchange_Security
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- published: 09 May 2017
- views: 2225
02 - Exchange Server 2016 Deployment
- Order: Reorder
- Duration: 29:42
- Updated: 08 Jul 2016
- views: 329
Are you setting up an Exchange Server 2016 environment? In this course, learn to plan and configure the Active Directory infrastructure requirements to support ...
Are you setting up an Exchange Server 2016 environment? In this course, learn to plan and configure the Active Directory infrastructure requirements to support an Exchange Server 2016 organization.
Take a look at prerequisites and requirements. Find out how to deploy and configure Exchange 2016 servers for messaging, manage Exchange servers, create recipients in Exchange 2016, and manage mailbox permissions. Plus, see how to set up role-based access and control for your Exchange 2016 environment.
NOTE: This course is part of a four-part series on Exchange Server 2016: Microsoft Exchange Server 2016 Infrastructure, Microsoft Exchange Server 2016 Client Access Services, Microsoft Exchange Server 2016 Mailbox Databases, and Microsoft Exchange Server 2016 Transport Services.
1 | Exchange Server 2016 Prerequisites and Requirements
Take a look at prerequisites and requirements for Exchange Server 2016.
2 | Exchange Server 2016 Deployment
Prepare your Active Directory for Exchange Server 2016, analyze your Exchange Server architecture, and install Exchange Server 2016.
3 | Manage Exchange Server 2016
Manage Exchange Server and client settings, and examine the Exchange Management Shell.
4 | Manage Exchange Server 2016 Recipient Objects
Explore mailbox recipient objects and email address policies.
5 | Manage Mail-Enabled Object Permissions
Manage mailbox permissions, mailbox folder permissions, and automapping.
6 | Plan and Implement Public Folder Mailboxes
Plan and implement public folder mailboxes.
7 | Plan and Configure Administrative Security and Auditing
Plan and configure administrative security and auditing.
Learn
Examine the Exchange Server 2016 prerequisites and requirements.
Prepare your Active Directory for Exchange Server 2016.
Manage Exchange Server 2016 clients.
Administer Exchange Server using the Exchange Management Shell and Exchange admin center.
Manage Exchange Server 2016 recipients.
Plan and implement public folder mailboxes.
Plan and configure administrative security and auditing.
Manage mail-enabled object permissions.
https://wn.com/02_Exchange_Server_2016_Deployment
Are you setting up an Exchange Server 2016 environment? In this course, learn to plan and configure the Active Directory infrastructure requirements to support an Exchange Server 2016 organization.
Take a look at prerequisites and requirements. Find out how to deploy and configure Exchange 2016 servers for messaging, manage Exchange servers, create recipients in Exchange 2016, and manage mailbox permissions. Plus, see how to set up role-based access and control for your Exchange 2016 environment.
NOTE: This course is part of a four-part series on Exchange Server 2016: Microsoft Exchange Server 2016 Infrastructure, Microsoft Exchange Server 2016 Client Access Services, Microsoft Exchange Server 2016 Mailbox Databases, and Microsoft Exchange Server 2016 Transport Services.
1 | Exchange Server 2016 Prerequisites and Requirements
Take a look at prerequisites and requirements for Exchange Server 2016.
2 | Exchange Server 2016 Deployment
Prepare your Active Directory for Exchange Server 2016, analyze your Exchange Server architecture, and install Exchange Server 2016.
3 | Manage Exchange Server 2016
Manage Exchange Server and client settings, and examine the Exchange Management Shell.
4 | Manage Exchange Server 2016 Recipient Objects
Explore mailbox recipient objects and email address policies.
5 | Manage Mail-Enabled Object Permissions
Manage mailbox permissions, mailbox folder permissions, and automapping.
6 | Plan and Implement Public Folder Mailboxes
Plan and implement public folder mailboxes.
7 | Plan and Configure Administrative Security and Auditing
Plan and configure administrative security and auditing.
Learn
Examine the Exchange Server 2016 prerequisites and requirements.
Prepare your Active Directory for Exchange Server 2016.
Manage Exchange Server 2016 clients.
Administer Exchange Server using the Exchange Management Shell and Exchange admin center.
Manage Exchange Server 2016 recipients.
Plan and implement public folder mailboxes.
Plan and configure administrative security and auditing.
Manage mail-enabled object permissions.
- published: 08 Jul 2016
- views: 329
U.S. Securities and Exchange Commission
- Order: Reorder
- Duration: 28:45
- Updated: 16 Sep 2016
- views: 19
The U.S.Securities and Exchange Commission is an agency of the United States federal government.It holds primary responsibility for enforcing the federal securi...
The U.S.Securities and Exchange Commission 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 nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States.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.
---Image-Copyright-and-Permission---
About the author(s): U.S. Government
License: Public domain
---Image-Copyright-and-Permission---
This channel is dedicated to make Wikipedia, one of the biggest knowledge databases in the world available to people with limited vision.
Article available under a Creative Commons license
Image source in video
https://wn.com/U.S._Securities_And_Exchange_Commission
The U.S.Securities and Exchange Commission 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 nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States.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.
---Image-Copyright-and-Permission---
About the author(s): U.S. Government
License: Public domain
---Image-Copyright-and-Permission---
This channel is dedicated to make Wikipedia, one of the biggest knowledge databases in the world available to people with limited vision.
Article available under a Creative Commons license
Image source in video
- published: 16 Sep 2016
- views: 19
Daily update with an in debth look at Safe Exchange Coin SEC & I gets personal.
- Order: Reorder
- Duration: 40:28
- Updated: 05 Jun 2017
- views: 557
In today's video I cover:
I want it I buy it.
Do's & don'ts's of trading and my fundamental trading principles to never break.
I randomly tell a personal story...
In today's video I cover:
I want it I buy it.
Do's & don'ts's of trading and my fundamental trading principles to never break.
I randomly tell a personal story.
Some tips on trading and how I spot my home run picks.
.. & moar!
View my writing on Steemit: https://steemit.com/@dhenz
Passive Income:
http://bit.ly/2qxwnaK - Genesis Mining. Use my code "8g6BEl" & get 3% off every mining upgrade!
http://bit.ly/2rjpNWR - BitConnect Lending. My vid on BitConnect - http://bit.ly/2rZyvgc
BUY Cryptocurrency: http://bit.ly/2rwderw
Exchange Cryptocurrency fast, cheap & safe: http://bit.ly/2qxKRaF
Buy BitCoin w/ Credit/Debit Card: http://bit.ly/2qGMjZ9
Join my Ultimate Intermittent Fasting course with half off: http://bit.ly/2mZzTfg
Facebook Weight Loss Group: http://bit.ly/2rwR0WH
How I lost 100 pounds: http://bit.ly/2s5yCGV
Free LiteCoin: http://bit.ly/2suHEtO
View my writing on Quora: http://bit.ly/2qOn7nD
Like my picks? Make some money?
Consider a donation: BTC:18vh6wMhVDsiYKgzdMbxm412tjEBe5ELx8 View my profile on Steemit: http://bit.ly/2sEdxRh
Buy NLC2 on Novaexchange: http://bit.ly/2sWfU5i or Yobit: http://bit.ly/2rbMjiW
NLC2 Slack: http://bit.ly/2t7lkdD
Passive Income:
http://bit.ly/2qxwnaK - Genesis Mining. Use my code "8g6BEl" & get 3% off every mining upgrade!
http://bit.ly/2rjpNWR - BitConnect Lending. My vid on BitConnect - http://bit.ly/2rZyvgc
BUY Cryptocurrency: http://bit.ly/2rwderw
Cyrptoia: http://bit.ly/2rMYaGg
NovaExchange: http://bit.ly/2rb17mO
Exchange Cryptocurrency Fast, Cheap & Safe: http://bit.ly/2qxKRaF
Buy BitCoin w/ Credit/Debit Card: http://bit.ly/2qGMjZ9
Join My Ultimate Intermittent Fasting Course w/ 50% Off: http://bit.ly/2mZzTfg
Facebook Weight Loss Group: http://bit.ly/2rwR0WH
View my writing on Quora: http://bit.ly/2qOn7nD
Like my picks? Make some money?
Consider a donation: BTC:18vh6wMhVDsiYKgzdMbxm412tjEBe5ELx8
Coinmarketcap List:
2GIVE 8bit AMP Aeon Antshares Apx Aragon Ardor Ark ArtByte Augur AuroraCoin BURSTCoin Bata BitBay BitBean BitCrystals BitSend BitShares BitcoinDark Bitswift BlackCoin Blitzcash BlockNet Boolberry Breakout Breakout Stake Byteball Bytecent CLAMs CannabisCoin CapriCoin Chronobank Time Circuits of Value CloakCoin ClubCoin Counterparty Crown CureCoin DT Token Darcrus Dash Databits Decred Diamond Digibyte DigitalNote DigixDAO Dogecoin DopeCoin Dynamic Edgeless Einsteinium ElectronicGulden EmerCoin EnergyCoin Ethereum Ethereum Classic EuropeCoin EverGreenCoin ExclusiveCoin Expanse Factom FairCoin Feathercoin Florin FoldingCoin GBG Gambit GameCredits GeoCoin GlobalCurrencyReserve Gnosis GoldCoin Golem Golos GridCoin Groestlcoin Gulden Guppy HackerGold HempCoin Humaniq I/OCoin IDNI Agoras Incent InfluxCoin Internet Of People Ion Jewel Komodo KoreCoin LBRY Credits Legends Lisk Litecoin Lomocoin Lumen Lunyr Magi MaidSafe Melon
Memetic MonaCoin Monero MonetaryUnit Musicoin MyriadCoin NAVCoin NXT NautilusCoin
NeosCoin NewEconomyMovement Nexium Nexus Nubits OMNI OkCash ParkByte Peercoin PesetaCoin
PinkCoin Pivx PotCoin Project Decorum Quatloo Qwark Radium ReddCoin Ripple Rise RubyCoin
STEEM SafeExchangeCoin SaluS Sequence ShadowCash Shift Siberian Chervonets SingularDTV SolarCoin Sphere SpreadCoin StartCoin StealthCoin SteemDollars StorjCoinX Stratis Swarm City Token Syndicate Synergy SysCoin TRIG Token TokenCard Tokes TransferCoin TrustPlus Trustcoin Ubiq UnbreakableCoin Unobtanium Vcash Verge VeriCoin Verium Vertcoin ViaCoin Voxels Waves WhiteCoin
Wild Beast Block Wings DAO Xaurum ZCoin Zcash Zclassic eBoost iEx.ec vTorrent
https://wn.com/Daily_Update_With_An_In_Debth_Look_At_Safe_Exchange_Coin_Sec_I_Gets_Personal.
In today's video I cover:
I want it I buy it.
Do's & don'ts's of trading and my fundamental trading principles to never break.
I randomly tell a personal story.
Some tips on trading and how I spot my home run picks.
.. & moar!
View my writing on Steemit: https://steemit.com/@dhenz
Passive Income:
http://bit.ly/2qxwnaK - Genesis Mining. Use my code "8g6BEl" & get 3% off every mining upgrade!
http://bit.ly/2rjpNWR - BitConnect Lending. My vid on BitConnect - http://bit.ly/2rZyvgc
BUY Cryptocurrency: http://bit.ly/2rwderw
Exchange Cryptocurrency fast, cheap & safe: http://bit.ly/2qxKRaF
Buy BitCoin w/ Credit/Debit Card: http://bit.ly/2qGMjZ9
Join my Ultimate Intermittent Fasting course with half off: http://bit.ly/2mZzTfg
Facebook Weight Loss Group: http://bit.ly/2rwR0WH
How I lost 100 pounds: http://bit.ly/2s5yCGV
Free LiteCoin: http://bit.ly/2suHEtO
View my writing on Quora: http://bit.ly/2qOn7nD
Like my picks? Make some money?
Consider a donation: BTC:18vh6wMhVDsiYKgzdMbxm412tjEBe5ELx8 View my profile on Steemit: http://bit.ly/2sEdxRh
Buy NLC2 on Novaexchange: http://bit.ly/2sWfU5i or Yobit: http://bit.ly/2rbMjiW
NLC2 Slack: http://bit.ly/2t7lkdD
Passive Income:
http://bit.ly/2qxwnaK - Genesis Mining. Use my code "8g6BEl" & get 3% off every mining upgrade!
http://bit.ly/2rjpNWR - BitConnect Lending. My vid on BitConnect - http://bit.ly/2rZyvgc
BUY Cryptocurrency: http://bit.ly/2rwderw
Cyrptoia: http://bit.ly/2rMYaGg
NovaExchange: http://bit.ly/2rb17mO
Exchange Cryptocurrency Fast, Cheap & Safe: http://bit.ly/2qxKRaF
Buy BitCoin w/ Credit/Debit Card: http://bit.ly/2qGMjZ9
Join My Ultimate Intermittent Fasting Course w/ 50% Off: http://bit.ly/2mZzTfg
Facebook Weight Loss Group: http://bit.ly/2rwR0WH
View my writing on Quora: http://bit.ly/2qOn7nD
Like my picks? Make some money?
Consider a donation: BTC:18vh6wMhVDsiYKgzdMbxm412tjEBe5ELx8
Coinmarketcap List:
2GIVE 8bit AMP Aeon Antshares Apx Aragon Ardor Ark ArtByte Augur AuroraCoin BURSTCoin Bata BitBay BitBean BitCrystals BitSend BitShares BitcoinDark Bitswift BlackCoin Blitzcash BlockNet Boolberry Breakout Breakout Stake Byteball Bytecent CLAMs CannabisCoin CapriCoin Chronobank Time Circuits of Value CloakCoin ClubCoin Counterparty Crown CureCoin DT Token Darcrus Dash Databits Decred Diamond Digibyte DigitalNote DigixDAO Dogecoin DopeCoin Dynamic Edgeless Einsteinium ElectronicGulden EmerCoin EnergyCoin Ethereum Ethereum Classic EuropeCoin EverGreenCoin ExclusiveCoin Expanse Factom FairCoin Feathercoin Florin FoldingCoin GBG Gambit GameCredits GeoCoin GlobalCurrencyReserve Gnosis GoldCoin Golem Golos GridCoin Groestlcoin Gulden Guppy HackerGold HempCoin Humaniq I/OCoin IDNI Agoras Incent InfluxCoin Internet Of People Ion Jewel Komodo KoreCoin LBRY Credits Legends Lisk Litecoin Lomocoin Lumen Lunyr Magi MaidSafe Melon
Memetic MonaCoin Monero MonetaryUnit Musicoin MyriadCoin NAVCoin NXT NautilusCoin
NeosCoin NewEconomyMovement Nexium Nexus Nubits OMNI OkCash ParkByte Peercoin PesetaCoin
PinkCoin Pivx PotCoin Project Decorum Quatloo Qwark Radium ReddCoin Ripple Rise RubyCoin
STEEM SafeExchangeCoin SaluS Sequence ShadowCash Shift Siberian Chervonets SingularDTV SolarCoin Sphere SpreadCoin StartCoin StealthCoin SteemDollars StorjCoinX Stratis Swarm City Token Syndicate Synergy SysCoin TRIG Token TokenCard Tokes TransferCoin TrustPlus Trustcoin Ubiq UnbreakableCoin Unobtanium Vcash Verge VeriCoin Verium Vertcoin ViaCoin Voxels Waves WhiteCoin
Wild Beast Block Wings DAO Xaurum ZCoin Zcash Zclassic eBoost iEx.ec vTorrent
- published: 05 Jun 2017
- views: 557
Get Your Data Security In Shape & Avoid SEC Enforcement
- Order: Reorder
- Duration: 35:03
- Updated: 24 Feb 2016
- views: 160
Security is a top priority for the SEC, and its Office of Compliance Inspections and Examinations recently announced it will crack down on investment firms with...
Security is a top priority for the SEC, and its Office of Compliance Inspections and Examinations recently announced it will crack down on investment firms with lax data security controls in 2016.
In the wake of rigorous testing, how are you protecting your clients' and firm's information? How are you securing, tracking and revoking data downloaded from data rooms and local file shares, or moved offline by third party collaborators?
We're here to help. Join Grant Shirk of Vera's Product Marketing team and Grigoriy Milis, Chief Technology Officer of RFA, a leading IT firm specialized in investment firm compliance to learn how to:
* Stay ahead of SEC security requirements by strengthening data security and access controls
* Secure your firm's confidential information (quarterly letters, client records), no matter who has it
* Lock down files, even after you've pressed 'Send' or third parties have made copies of your data
Watch today to learn why firms like Perella Weinberg, Deerfield Management, and Tremblant Capital are using Vera to secure their data anywhere.
https://wn.com/Get_Your_Data_Security_In_Shape_Avoid_Sec_Enforcement
Security is a top priority for the SEC, and its Office of Compliance Inspections and Examinations recently announced it will crack down on investment firms with lax data security controls in 2016.
In the wake of rigorous testing, how are you protecting your clients' and firm's information? How are you securing, tracking and revoking data downloaded from data rooms and local file shares, or moved offline by third party collaborators?
We're here to help. Join Grant Shirk of Vera's Product Marketing team and Grigoriy Milis, Chief Technology Officer of RFA, a leading IT firm specialized in investment firm compliance to learn how to:
* Stay ahead of SEC security requirements by strengthening data security and access controls
* Secure your firm's confidential information (quarterly letters, client records), no matter who has it
* Lock down files, even after you've pressed 'Send' or third parties have made copies of your data
Watch today to learn why firms like Perella Weinberg, Deerfield Management, and Tremblant Capital are using Vera to secure their data anywhere.
- published: 24 Feb 2016
- views: 160
06 - Core Solutions Exchange 2013 - 06 Configuring Administrative Security and Auditing
- Order: Reorder
- Duration: 25:27
- Updated: 28 Mar 2014
- views: 330
- published: 28 Mar 2014
- views: 330
- Playlist
- Chat
2:41
What does The Securities and Exchange Commission do?
Any questions?
The Securities and Exchange Commission is a government entity created to re...
published: 14 Feb 2013
What does The Securities and Exchange Commission do?
What does The Securities and Exchange Commission do?
- Report rights infringement
- published: 14 Feb 2013
- views: 19755
2:02
What is the Securities and Exchange Commission?
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/
What is t...
published: 10 Jun 2016
What is the Securities and Exchange Commission?
What is the Securities and Exchange Commission?
- Report rights infringement
- published: 10 Jun 2016
- views: 63
3:01
SEC - The United States Securities And Exchange Commission
What is SEC? The United States Securities and Exchange Comission was founded years and yea...
published: 17 Feb 2015
SEC - The United States Securities And Exchange Commission
SEC - The United States Securities And Exchange Commission
- Report rights infringement
- published: 17 Feb 2015
- views: 2828
1:02
Securities And Exchange Commission
An Easy Overview Of The Securities And Exchange Commission
published: 06 Nov 2012
Securities And Exchange Commission
Securities And Exchange Commission
- Report rights infringement
- published: 06 Nov 2012
- views: 1869
30:14
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 1...
published: 17 Nov 2015
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
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- published: 17 Nov 2015
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2:15
Security and Exchange Commission (SEC)
In a post stock market crash commercial, I tell you everything that you need to know about...
published: 06 Apr 2015
Security and Exchange Commission (SEC)
Security and Exchange Commission (SEC)
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- published: 06 Apr 2015
- views: 227
6:13
I called the Securities & Exchange Commission. What they told me was SHOCKING !
I wanted to know if a purchase of a stock i wanted to make would violate insider trading l...
published: 15 Aug 2014
I called the Securities & Exchange Commission. What they told me was SHOCKING !
I called the Securities & Exchange Commission. What they told me was SHOCKING !
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- published: 15 Aug 2014
- views: 13545
7:07
SEBI | Securities and Exchange Board of India | all about SEBI
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Note...
published: 10 Feb 2017
SEBI | Securities and Exchange Board of India | all about SEBI
SEBI | Securities and Exchange Board of India | all about SEBI
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- published: 10 Feb 2017
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1:37
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
The Securities and Exchange Commission is a regulatory group for financial advisers. Learn...
published: 30 Oct 2008
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
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- published: 30 Oct 2008
- views: 1630
2:35
Securities and Exchange Commission (Philippines)
See Securities and Exchange Commission for other similarly named organizations in other co...
published: 08 Dec 2015
Securities and Exchange Commission (Philippines)
Securities and Exchange Commission (Philippines)
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- published: 08 Dec 2015
- views: 1279
31:34
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
Under Cox's leadership, the SEC on September 17 and 18, 2008, imposed a variety of both pe...
published: 16 Nov 2015
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
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- published: 16 Nov 2015
- views: 118
0:47
What Is The Securities And Exchange Commission?
Securities and exchange commission (sec) regulates the stock market, protects investors ma...
published: 20 Jul 2017
What Is The Securities And Exchange Commission?
What Is The Securities And Exchange Commission?
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0:37
Securities And Exchange Board Of India
An Easy Overview Of The Securities And Exchange Board Of India
published: 06 Nov 2012
Securities And Exchange Board Of India
Securities And Exchange Board Of India
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- published: 06 Nov 2012
- views: 2314
6:19
The Arrogance of the Securities and Exchange Commission
Financial Services Committee
"Assessing the Madoff Ponzi Scheme and Regulatory Failures"...
published: 20 Oct 2010
The Arrogance of the Securities and Exchange Commission
The Arrogance of the Securities and Exchange Commission
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- views: 6720
1:01
1 Sexist at the Securities and Exchange Commission, Alex J Rue
Senior Trial Counsel for the Securities and Exchange Commission, James Alexander Rue, apol...
published: 17 Sep 2010
1 Sexist at the Securities and Exchange Commission, Alex J Rue
1 Sexist at the Securities and Exchange Commission, Alex J Rue
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9:15
Bangladesh Securities and Exchange Commission
Video on capital market
published: 05 Jan 2017
Bangladesh Securities and Exchange Commission
Bangladesh Securities and Exchange Commission
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2:41
What does The Securities and Exchange Commission do?
Any questions?
The Securities and Exchange Commission is a government entity created to re...
published: 14 Feb 2013
What does The Securities and Exchange Commission do?
What does The Securities and Exchange Commission do?
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2:02
What is the Securities and Exchange Commission?
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/
What is t...
published: 10 Jun 2016
What is the Securities and Exchange Commission?
What is the Securities and Exchange Commission?
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- published: 10 Jun 2016
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3:01
SEC - The United States Securities And Exchange Commission
What is SEC? The United States Securities and Exchange Comission was founded years and yea...
published: 17 Feb 2015
SEC - The United States Securities And Exchange Commission
SEC - The United States Securities And Exchange Commission
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1:02
Securities And Exchange Commission
An Easy Overview Of The Securities And Exchange Commission
published: 06 Nov 2012
Securities And Exchange Commission
Securities And Exchange Commission
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- published: 06 Nov 2012
- views: 1869
30:14
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 1...
published: 17 Nov 2015
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
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- published: 17 Nov 2015
- views: 2526
2:15
Security and Exchange Commission (SEC)
In a post stock market crash commercial, I tell you everything that you need to know about...
published: 06 Apr 2015
Security and Exchange Commission (SEC)
Security and Exchange Commission (SEC)
- Report rights infringement
- published: 06 Apr 2015
- views: 227
6:13
I called the Securities & Exchange Commission. What they told me was SHOCKING !
I wanted to know if a purchase of a stock i wanted to make would violate insider trading l...
published: 15 Aug 2014
I called the Securities & Exchange Commission. What they told me was SHOCKING !
I called the Securities & Exchange Commission. What they told me was SHOCKING !
- Report rights infringement
- published: 15 Aug 2014
- views: 13545
7:07
SEBI | Securities and Exchange Board of India | all about SEBI
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Note...
published: 10 Feb 2017
SEBI | Securities and Exchange Board of India | all about SEBI
SEBI | Securities and Exchange Board of India | all about SEBI
- Report rights infringement
- published: 10 Feb 2017
- views: 18307
1:37
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
The Securities and Exchange Commission is a regulatory group for financial advisers. Learn...
published: 30 Oct 2008
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
- Report rights infringement
- published: 30 Oct 2008
- views: 1630
2:35
Securities and Exchange Commission (Philippines)
See Securities and Exchange Commission for other similarly named organizations in other co...
published: 08 Dec 2015
Securities and Exchange Commission (Philippines)
Securities and Exchange Commission (Philippines)
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- published: 08 Dec 2015
- views: 1279
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34:33
What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)
Prior to the enactment of the federal securities laws and the creation of the SEC, there e...
published: 23 Jul 2015
What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)
What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)
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- published: 23 Jul 2015
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51:05
Paul Elio presents to the Securities and Exchange Commission
SEC - Advisory Committee on Small and Emerging Companies Meeting July 19, 2016
Elio Motor...
published: 26 Oct 2016
Paul Elio presents to the Securities and Exchange Commission
Paul Elio presents to the Securities and Exchange Commission
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- published: 26 Oct 2016
- views: 14407
30:14
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 1...
published: 17 Nov 2015
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
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- published: 17 Nov 2015
- views: 2526
31:34
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
Under Cox's leadership, the SEC on September 17 and 18, 2008, imposed a variety of both pe...
published: 16 Nov 2015
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
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- published: 16 Nov 2015
- views: 118
28:01
live HAI 5/8/17 Whats up with exchange security?
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published: 09 May 2017
live HAI 5/8/17 Whats up with exchange security?
live HAI 5/8/17 Whats up with exchange security?
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- published: 09 May 2017
- views: 2225
29:42
02 - Exchange Server 2016 Deployment
Are you setting up an Exchange Server 2016 environment? In this course, learn to plan and ...
published: 08 Jul 2016
02 - Exchange Server 2016 Deployment
02 - Exchange Server 2016 Deployment
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- published: 08 Jul 2016
- views: 329
28:45
U.S. Securities and Exchange Commission
The U.S.Securities and Exchange Commission is an agency of the United States federal gover...
published: 16 Sep 2016
U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission
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- published: 16 Sep 2016
- views: 19
40:28
Daily update with an in debth look at Safe Exchange Coin SEC & I gets personal.
In today's video I cover:
I want it I buy it.
Do's & don'ts's of trading and my fundamenta...
published: 05 Jun 2017
Daily update with an in debth look at Safe Exchange Coin SEC & I gets personal.
Daily update with an in debth look at Safe Exchange Coin SEC & I gets personal.
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- published: 05 Jun 2017
- views: 557
35:03
Get Your Data Security In Shape & Avoid SEC Enforcement
Security is a top priority for the SEC, and its Office of Compliance Inspections and Exami...
published: 24 Feb 2016
Get Your Data Security In Shape & Avoid SEC Enforcement
Get Your Data Security In Shape & Avoid SEC Enforcement
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- published: 24 Feb 2016
- views: 160
25:27
06 - Core Solutions Exchange 2013 - 06 Configuring Administrative Security and Auditing
published: 28 Mar 2014
06 - Core Solutions Exchange 2013 - 06 Configuring Administrative Security and Auditing
06 - Core Solutions Exchange 2013 - 06 Configuring Administrative Security and Auditing
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- published: 28 Mar 2014
- views: 330
What Does the Securities and Exchange Commission D...
Paul Elio presents to the Securities and Exchange ...
What Is the Securities & Exchange Commission? Is I...
What Does the Securities and Exchange Commission R...
live HAI 5/8/17 Whats up with exchange security?...
02 - Exchange Server 2016 Deployment...
U.S. Securities and Exchange Commission...
Daily update with an in debth look at Safe Exchang...
Get Your Data Security In Shape & Avoid SEC Enforc...
06 - Core Solutions Exchange 2013 - 06 Configurin...
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Study gives first proof that the Earth has a natural thermostat
Edit SpaceDaily 22 Aug 2017
Paris (SPX) Aug 21, 2017. New data provides the first proof that the Earth has a natural thermostat which enables the planet to recover from extremes of climate change - but the recovery timescales are significant. This work was presented at the Goldschmidt conference in Paris, and has just been published in the peer-reviewed journal Geochemical Perspectives Letters*. The idea of a natural temperature thermostat wa ... ....
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North Korea warns ‘US will live in fear’
Edit Raw Story 22 Aug 2017
North Korea has warned Donald Trump that all it has to do is “put its hand on a button and press it when the right time comes” in a video released ahead of the U.S.’ military drill with South Korea. The propaganda video, released on Sunday evening, issued a stark threat to the U.S. president that... ....
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India's top court suspends controversial Muslim divorce law
Edit This is Money 22 Aug 2017
"This is a sensitive case where sentiments are involved. We are directing the Union of India to consider appropriate legislation in this regard," Justice J.S ... ....
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If we enter India, it will be chaos: China
Edit Kashmir Observer 22 Aug 2017
Beijing—China on Tuesday said there will be "utter chaos" if its troops entered India on the pretext that Indian border infrastructure posed a threat to Beijing. The Chinese Foreign Ministry said India's logic that Chinese road building in Doklam on the border posed a threat to New Delhi was "ridiculous and vicious" ... "The Indian side illegally crossed the boundary on the excuse of ... ....
Founder Of Defunct 'Bitcoin Securities' Exchange Warns Against Ethereum ICO Hype
Edit Forbes 22 Aug 2017Solomon Exchange: SMNX ICO: Most exciting cryptocurrency Exchange ICO
Edit A Bit of News 22 Aug 2017
At Solomon Exchange, their priority is to unceasingly provide people from around the world with a trading platform that will eradicate all of the dreadful security risks that exist in the 21st century. Perfection is at the forefront of the minds of the Solomon Exchange team, and their wealth of experience and talent will make certain that their trading platform is categorically secure....
Nifty likely to open on positive note, gain 36 points: Maximus Securities
Edit Moneycontrol 22 Aug 2017Brokers, exchanges to meet to discuss portfolio management services in commodity market
Edit Moneycontrol 22 Aug 2017
Following this meeting, brokers and exchanges will meet SEBI officials next week to put forth their suggestions about introducing PMS in the commodity market ... After laying out the rules for the introduction of commodity options in June, the Securities and Exchanges Board of India (SEBI) is now moving toward the second phase of its plan to deepen commodity markets....
Specialist consultancy Clinco keeps documents secure using the DX Exchange service to securely deliver critical documents
Edit Public Technologies 22 Aug 2017
In addition to thousands of legal firms, barristers and courts using the DX Exchange service to securely deliver critical documents - many suppliers to the legal sector also avail of the DX Exchange service, one example of which is Clinco ... The cases Clinco work on frequently consist of many thousands of pages of documents, all of which need to be transferred securely out to the client once their analysis is complete....
Major Japanese Ticket Exchange Marketplace Now Accepts Bitcoin – CoinTelegraph
Edit BTC World News 22 Aug 2017Australians are being ripped off on currency exchange
Edit Sydney Morning Herald 22 Aug 2017
Australians are being ripped off by poor currency exchange rates and fees, an analysis by researcher Capital Economics shows ... This figure includes more than $110 million in poor exchange rates and fees for cash exchanged before travelling overseas....
50 Bitcoin Exchanges Have Filed with the Japanese Financial Authority
Edit The Bitcoin News 22 Aug 2017
The Japanese Financial Services Agency (FSA) has revealed that about 50 bitcoin exchanges have filed registration documents with the agency, according to a local publication....
Oman- Travelex foreign exchange provider at Muscat airport
Edit MENA FN 22 Aug 2017
(MENAFN - Muscat Daily) Muscat- Travelex, the world's leading foreign exchange specialist, has been appointed as one of the foreign exchange providers at the new Muscat Internatio... ....
Bithumb, Highest Volume Exchange Globally, Adds Monero
Edit Helena Bitcoin Mining 22 Aug 2017
The largest South Korean exchange Bithumb announced on August 21 the addition of the privacy-focused altcoin, monero (XMR). The exchange, which commands more than $900 million in volume daily, plans to open up monero deposits on August 23. Koreans have been pushing a lot of volume into cryptocurrency markets recently. The pump of Bitcoin Cash ... ....
Philippines Central Bank Grants First Cryptocurrency Exchange Licenses
Edit The Bitcoin News 22 Aug 2017
The central bank of the Philippines has granted licenses to two local bitcoin exchanges, according to reports ... The Bangko Sentral ng Pilipinas first released its rules for domestic exchanges in February, seeking to lay down a foundation for the country’s nascent cryptocurrency space....
Indian Energy Exchange gets Sebi’s nod for IPO for 6,065,009 shares
Edit The Siasat Daily 22 Aug 2017
Indian Energy Exchange (IEX) has received the approval of capital markets regulator Sebi to float an initial public offer ... Established in 2008, IEX is India’s first power exchange providing automated trading platform for electricity(for physical delivery) and renewable energy certificates ... The shares are proposed to be listed on BSE and National Stock Exchange (NSE)....
Seypec decentralises sales of LPG gas cylinders, offers better exchange deal
Edit Nation 22 Aug 2017
Seypec has also decided to simplify the exchange mode of LPG cylinders on a more customer friendly basis ... This like for like exchange was applied to all cylinder sizes and types ... The composite cylinder, which meets International European quality and security standards, has been endorsed locally by the Seychelles Bureau of Standards and is a worthy replacement for the steel cylinders....
Kraken Exchange Removes Illiquid Markets and Temporarily Suspends Advanced Trading Orders
Edit LB News 22 Aug 2017
Cryptocurrency exchanges have to continuously monitor their listings and make changes accordingly ... This also means said exchange will have to delist cryptocurrencies and tokens now and then. It appears the Kraken exchanges will get rid of some illiquid markets in the near future ... Adding fiat currency markets for currencies and tokens is always a tough call for exchanges ... Big changes are happening as far as this exchange is concerned....
Bitcoin Cash: Chinese ‘Big 3’ Exchanges Huobi & OKCoin Launch Trading
Edit Cryptocoin News 22 Aug 2017
Two of China’s ‘big three’ cryptocurrency trading platforms are now officially supporting Bitcoin Cash (BCC) after launching trading today ... “To ensure a safe trading environment and to avoid potential 51% attacks and transaction malleability, there will be increased security verifications when depositing BCC,” OKCoin added. Bitcoin cash prices touched $1,000 over the weekend following a marked surge in trading on Korean exchanges ... < ....
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