Examples of Securities and Exchange Commission in the following topics:
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- The APB and the related Securities Exchange Commission were unable to operate completely independently of the U.S. government
- That is left to the Securities and Exchange Commission.
- Securities and Exchange Commission (SEC) is a federal agency which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States.
- The SEC was created by Section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. § 78d and commonly referred to as the 1934 Act).
- The SEC was given the power to license and regulate stock exchanges, the companies whose securities were traded on exchanges, and the brokers and dealers who conducted the trading.
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- Beginning in the late 19th and 20th century, much of regulation in the United States was administered and enforced by regulatory agencies which produced their own administrative law and procedures under the authority of statutes.
- At the federal level, one the earliest institutions was the Interstate Commerce Commission which had its roots in earlier state-based regulatory commissions and agencies.
- Later agencies include the Federal Trade Commission, Securities and Exchange Commission , Civil Aeronautics Board, and various other institutions.
- These institutions vary from industry to industry and at the federal and state level.
- The Securities and Exchange Commission is an example of a government regulatory agency.
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- On November 15, 2007, the Securities and Exchange Commission (SEC) exempted foreign firms from including reconciliation from International Financial Reporting Standards (IFRS) to U.S.
- Stock exchanges.
- This move has created a mandate to converge IFRS and U.S.
- GAAP and financial statement requirements (SEC, 2007).
- On June, 18, 2008, the SEC issued a press release stating that the world’s securities regulators are uniting to increase their oversight of international accounting standards.
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- The Securities and Exchange Commission (SEC), which was created in 1934, is the principal regulator of securities markets in the United States.
- The Securities Act of 1933 and the Securities Exchange Act of 1934 consequently gave the federal government a preeminent role in protecting small investors from fraud and making it easier for them to understand companies' financial reports.
- Companies issuing stocks, bonds, and other securities must file detailed financial registration statements, which are made available to the public.
- The SEC determines whether these disclosures are full and fair so that investors can make well-informed and realistic evaluations of various securities.
- The SEC also oversees trading in stocks and administers rules designed to prevent price manipulation; to that end, brokers and dealers in the over-the-counter market and the stock exchanges must register with the SEC.
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- The 1975 amendments, also called the National Exchange Market System Act, directed the securities and exchange commission to work with the industry toward establishing a national market system together with a system for the nationwide clearance and settlement of securities transactions.
- In the United States, national market systems are governed by section 11A of the Securities Exchange Act of 1934.
- Its purpose is to provide technical services for the exchanges themselves, members and other financial institutions.
- In this role, SIAC provides the computers and other systems required to run the exchanges.
- Regulation NMS (or Reg NMS — Regulation National Market System) is a regulation promulgated and defined by the United States Securities and Exchange Commission (SEC) as "a series of initiatives designed to modernize and strengthen the national market system for equity securities. " It was established in 2007 and seeks to foster both "competition among individual markets and competition among individual orders" in order to promote efficient and fair price formation across securities markets.
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- The Securities Exchange Act of 1934 is a law governing the secondary trading of securities, financial markets and their participants.
- The Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or Act of '34) is a law governing the secondary trading of securities, including stocks, bonds, and debentures, in the United States of America.
- The 1934 Act also established the Securities and Exchange Commission (SEC), the agency primarily responsible for enforcement of United States federal securities law.
- Some of the well known exchanges include the New York Stock Exchange, the American Stock Exchange, and regional exchanges like the Cincinnati Stock Exchange, Philadelphia Stock Exchange and Pacific Stock Exchange.
- At those places, agents of the exchange or specialists, act as middlemen for the competing interests to buy and sell securities.
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- The Securities Act of 1933 ensures investors receive complete and accurate information before they invest.
- The Act's objectives are to provide investors with material, financial, and other corporate information about issuers of public securities (i.e. stocks and bonds), and to prevent fraud in the offering of such securities.
- the average weekly reported volume of trading in the securities on all national securities exchanges for the preceding four weeks
- In cases of mergers, buyouts or takeovers, owners of securities who had previously filed Form 144 and still wish to sell restricted and controlled securities must refile Form 144 once the merger, buyout, or takeover has been completed.
- Securities and Exchange Commission (frequently abbreviated SEC) is a federal agency, which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry
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- The securities market is an economic institute where sale and purchase transactions of securities between subjects of economy take place according to demand and supply.
- The secondary market, also known as the aftermarket, is the financial market where previously issued securities and financial instruments such as stock, bonds, options, and futures are bought and sold.
- Exchanges such as the New York Stock Exchange, Nasdaq, and the American Stock Exchange provide a centralized, liquid secondary market for the investors who own stocks that trade on those exchanges.
- The broker provides information about potential buyers and sellers and earns a commission in return.
- Most foreign exchange trading firms are market makers and so are many banks.
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- The exchange has 1,366 members, or "seats," which are bought by brokerage houses at hefty prices and are used for buying and selling stocks for the public.
- Information travels electronically between brokerage offices and the exchange, which requires 200 miles (320 kilometers) of fiber-optic cable and 8,000 phone connections to handle quotes and orders.
- In the end, the schoolteacher gets her cash and the engineer gets his stock, and both pay their brokers a commission.
- The smaller American Stock Exchange, which lists numerous energy industry-related stocks, operates in much the same way and is located in the same Wall Street area as the New York exchange.
- The largest number of different stocks and bonds traded are traded on the National Association of Securities Dealers Automated Quotation system, or Nasdaq.
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- Exchange rates are determined in the foreign exchange market, which is open to a wide range of buyers and sellers where currency trading is continuous.
- The forward exchange rate refers to an exchange rate that is quoted and traded today, but for delivery and payment on a specific future date.
- In the retail currency exchange market, a different buying rate and selling rate will be quoted by money dealers.
- The quoted rates will incorporate an allowance for a dealer's margin (or profit) in trading, or else the margin may be recovered in the form of a commission or in some other way.
- Explain the concept of a foreign exchange market and an exchange rate