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What does The Securities and Exchange Commission do?
 
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Any questions? The Securities and Exchange Commission is a government entity created to regulate the trading in securities such as stocks and bonds. The "SEC" as it is known was created after the Great Depression to protect the public by regulating the trading in stocks and bonds. The goal is for the average investor, Joe Q, to have access to the same information as the executives who oversee or work for the public companies that are traded on the exchanges. All public companies must file their results with the SEC on a periodic basis, usually each quarter so that the public has access to the same information as the company executives. Also, the SEC makes sure that the "insiders" who work for the companies, do not have an unfair advantage to invest or trade in securities based on "inside" information that is not yet available to the public. So, the SEC is like an investment police force!
Views: 34689 FinLit
What is the Securities and Exchange Commission?
 
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http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/ What is the Securities and Exchange Commission?
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
 
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The Securities and Exchange Commission is a regulatory group for financial advisers. Learn about the Securities and Exchange Commission, or SEC, with information from a financial planner in this free video on personal finance and the stock market. Expert: Chris Markowski Contact: www.watchdogonwallstreet.com Bio: Christopher Markowski is the founder of the financial planning firm, Markowski Investments. Filmmaker: Christopher Rokosz
Views: 2817 eHow
The Securities and Exchange Board of India (SEBI)
 
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In this video you will see What is SEBI, Location of SEBI, History of SEBI, Website of SEBI, Members of SEBI, Objective of SEBI, Functions of SEBI, Power of SEBI, Role of SEBI in Mutual Fund , Role of SEBI in IPO (Initial Public Offer), What SEBI Regulates and Departments under SEBI ● Facebook: http://www.facebook.com/ManagementsAdda ● Instagram: http://www.instagram.com/ManagementAdda ● Twitter: http://www.twitter.com/ManagementsAdda
Views: 2161 Management Adda
Securities and Exchange Commission gives 8-point test to identify a legal networking
 
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Do you want to try networking? Here is a checklist of the things you need to know before investing your money. (Date aired: August 24, 2015) GMA News Online: http://www.gmanews.tv Facebook: http://www.facebook.com/gmanews Twitter: http://www.twitter.com/gmanews
Views: 935 GMA News
Securities and Exchange Board of India (SEBI)
 
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Securities and Exchange Board of India (SEBI) Lecture By: Ms. Madhu Bhatia, Tutorials Point India Private Limited
SEC - The United States Securities And Exchange Commission
 
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What is SEC? The United States Securities and Exchange Comission was founded years and years ago to protect participants of the stock market. SEC offers services for investors and traders. You can use SEC EDGAR search to find financial information about any public stock. The United States Securities and Exchange Commission was create to protect participants of the stock market and to regulate buying and selling processess.
Views: 6799 Joyful Investor
Securities and Exchange Commission (Philippines)
 
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See Securities and Exchange Commission for other similarly named organizations in other countries The Securities and Exchange Commission is the agency of the Government of the Philippines responsible for regulating the securities industry in the Philippines. The SEC is an agency within the Office of the President of the Philippines. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 3226 Audiopedia
SEC - Security & Exchange Commission - USA
 
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Welcome to the Investors Trading Academy talking glossary of financial terms and events. Our word of the day is “SEC - Security & Exchange Commission - USA” The Securities Exchange Act of 1934 governs the way in which the nation's securities markets and its brokers and dealers operate. When the stock market crashed in October 1929, so did public confidence in the U.S. markets. Congress held hearings to identify the problems and search for solutions. Based on its findings, Congress – in the peak year of the Depression – passed the Securities Act of 1933. The following year, it passed the Securities Exchange Act of 1934, which created the SEC. The SEC has four major divisions. 1. The Division of Corporation Finance ensures corporate disclosure of important information to the investing public. 2. The Division of Trading and Markets ensures fairness, order and efficiency in market activities. 3. The Division of Investment Management helps protect investors and encourages capital formation through oversight and regulation of the investment management industry. 4. The Division of Enforcement investigates securities law violations and initiates civil and criminal actions. The SEC is composed of five commissioners appointed by the U.S. President and approved by the Senate. The statutes administered by the SEC are designed to promote full public disclosure and to protect the investing public against fraudulent and manipulative practices in the securities markets. Generally, most issues of securities offered in interstate commerce, through the mail or on the internet must be registered with the SEC. By Barry Norman, Investors Trading Academy - ITA
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
 
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Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operations of the industry. In practice, the SEC delegates most of its enforcement and rulemaking authority to FINRA. In fact, all trading firms not regulated by other SROs must register as a member of FINRA. Individuals trading securities must pass exams administered by FINRA to become registered representatives.[11][12] The Investment Management Division oversees registered investment companies, which include mutual funds, as well as registered investment advisors. These entities are subject to extensive regulation under various federals securities laws.[13] The Division of Investment Management administers various federal securities laws, in particular the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include:[14] assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff; responding to no-action requests and requests for exemptive relief; reviewing investment company and investment adviser filings; assisting the Commission in enforcement matters involving investment companies and advisers; and advising the Commission on adapting SEC rules to new circumstances. The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. The SEC generally conducts investigations in private. The SEC's staff may seek voluntary production of documents and testimony, or may seek a formal order of investigation from the SEC, which allows the staff to compel the production of documents and witness testimony. The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.[15] Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the Commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC. This office has played a role in such areas as working with the Financial Accounting Standards Board to develop Generally Accepted Accounting Principles, the Public Company Accounting Oversight Board in developing audit requirements, and the International Accounting Standards Board in advancing the development of International Financial Reporting Standards; The Office of Compliance, Inspections and Examinations, which inspects broker-dealers, stock exchanges, credit rating agencies, registered investment companies, including both closed-end and open-end (mutual funds) investment companies, money funds. and Registered Investment Advisors; The Office of International Affairs, which represents the SEC abroad and which negotiates international enforcement information-sharing agreements, develops the SEC's international regulatory policies in areas such as mutual recognition, and helps develop international regulatory standards through organizations such as the International Organization of Securities Commissions and the Financial Stability Forum; The Office of Investor Education and Advocacy, which helps educate the public about securities markets and warns investors of fraud and stock market scams; The Office of Economic Analysis, which helps the SEC estimate the economic costs and benefits of its various rules and regulations; and The Office of Information Technology, which supports the Commission and staff in information technology, including application development, infrastructure operations. and engineering, user support, IT program management, capital planning, security, and enterprise architecture. The Inspector General. The SEC announced in January 2013 that it had named Carl Hoecker the new inspector general.[16][17] He has a staff of 22. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 6518 Way Back
The Arrogance of the Securities and Exchange Commission
 
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Financial Services Committee
 
"Assessing the Madoff Ponzi Scheme and Regulatory Failures" Chairman, Paul Kanjorski - statements after morning recess
Views: 12677 tp1murray
Keynote Speakers: Securities and Exchange Commission
 
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Nadia Brannon - Member at Distributed Ledger Technology Working Group, SEC Nadia is an econometrician by training and is a certified fraud examiner. Prior to SEC, she was an executive director with Ernst & Young in San Francisco where she led forensic data analytics practice. Zachary Fallon - Special Counsel in the Office of Small Business Policy, SEC Zachary joined the SEC in 2009 as an Attorney-Advisor in the Office of the General Counsel, and most recently served as Senior Special Counsel to the Director of the Division of Corporation Finance. Victor Hong - Senior Counsel in the Division of Enforcement, SEC Victor has extensive experience investigating and litigating potential securities law violations. Beforehand, he was in private practice with a large New York law firm and a law clerk on the Second Circuit Court of Appeals. Scott Walker - Attorney-Advisor in the Office of Compliance Inspections and Examinations, and member of Distributed Ledger Technology Working Group, SEC Scott's primary focus is on Investment Advisers and Investment Companies. Prior to his work as a regulator, Scott was a Corporate Counsel at Barclays and BlackRock.
SEBI - Securities and Exchange Board of India
 
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The Securities and Exchange Board of India is the regulator of capital market where, long-term equity, debt, commodity, derivatives & other financial instruments are traded Established – April 12, 1992 in accordance with the provision of SEBI Act 1992 Headquarter – Mumbai, Maharashtra Chairperson – Ajay Tyagi 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" Functions of SEBI - It regulates the functioning of securities market It protects the interest of investors trading in securities market and helps in development of securities market It registers and regulates the working of various participants in securities market like stock brokers, sub-brokers, merchant bankers, investment advisors, credit rating agencies, mutual funds, fiis, portfolio managers, registrars, bankers and various other intermediaries It prohibits the fraudulent and unfair trade practices involved in trading in securities market It promotes investor’s education and training to intermediaries of securities market and regulates the acquisition of shares in case of takeovers by companies Powers Exercised by SEBI - It may take measures to undertake inspection of any document, records, book or register of any listed public company on reasonable grounds of company being indulged in insider trading, fraudulent and unfair trade practices It has the power to suspend trading of any security in stock exchange It has the power to restrain, cease and desist any person from trading in the securities market in case of violation of any of the provisions of Act or any other set rules & norms It has power to issue directions in the interest of investors & development of securities market
Views: 144 DevTech Finance
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance - The Best Documentary
 
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Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] . Click here for more CFPB's Revisions to the Home Mortgage Disclosure Act (HMDA) . Regulatory review is one of four key recommendations made Wednesday by the National Venture Capital Association at its annual meeting in Boston. In Part 2 . This webinar will provide an overview of the agency's fair lending examination program and outline best practices that can help credit unions of all asset sizes .
Views: 69 Ramon Pollich
Finance: What is the 1934 Securities And Exchange Act?
 
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What was the 1934 Securities and Exchange Act? Hit play to find out.
Views: 400 Shmoop
Richard Best, Securities and Exchange Commission
 
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Richard Best, regional director of the Securities and Exchange Commission's Salt Lake office, describes taking precautions against affinity fraud. More at: https://www.fbi.gov/news/stories/beware-of-affinity-fraud
The Securities Exchange Act of 1934
 
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http://thebusinessprofessor.com/securities-exchange-act-of-1934/ The Securities Exchange Act of 1934
What is Securities & Exchange Board of India (Venture Capital Funds) Regulations 1996?
 
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The Securities & Exchange Board of India (venture capital funds) Regulations 1996 ("VCF Regulations") issued by the Securities and Exchange Board of India ("SEBI") are a comprehensive set of laws to be followed by the venture capital funds in India. From the registration of venture capital funds to the action to be taken in case of default, the regulation has been divided in VI chapters.
Views: 1989 Arthveda Co
SEBI (SECURITIES AND EXCHANGE BOARD OF INDIA)
 
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Views: 47288 Deep Talks
The Securities Act of 1933 and the Securities Exchange Act of 1934
 
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This video discusses how the Securities Act of 1933 and the Securities Exchange Act of 1934 affected financial accounting in the United States. These acts created the Securities and Exchange Commission (SEC) and require publicly-traded companies to be registered with the SEC. Publicly-traded companies must file an annual report (the 10-K), a quarterly report (the 10-Q), and a report whenever there is a material event (the 8-K) such as a bankruptcy, change of ownership, etc. This significantly increased the regulation for public companies in the U.S. and increased protections for investors. Edspira is your source for business and financial education. To view the entire video library for free, visit http://www.Edspira.com To like Edspira on Facebook, visit https://www.facebook.com/Edspira To sign up for the newsletter, visit http://Edspira.com/register-for-newsletter Edspira is the creation of Michael McLaughlin, who went from teenage homelessness to a PhD. The goal of Michael's life is to increase access to education so all people can achieve their dreams. To learn more about Michael's story, visit http://www.MichaelMcLaughlin.com To follow Michael on Twitter, visit https://twitter.com/Prof_McLaughlin To follow Michael on Facebook, visit https://www.facebook.com/Prof.Michael.McLaughlin
Views: 9767 Edspira
I called the Securities & Exchange Commission. What they told me was SHOCKING !
 
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I wanted to know if a purchase of a stock i wanted to make would violate insider trading laws. more than a month ago I met with a company who wanted to invest in one of my portfolio companies. We never discussed their business. Only ours. But I liked the company. The next week their stock fell significantly after their earnings report. It was now at a price I wanted to buy it.The only non public information i have is that they have an interest in one of my companies. Would it be insider trading if i bought the stock ? I called the SEC to see if I could get this question answered. What I found shocked even me.
Views: 20848 blogmaverick
Breaking News: SEC Chairman Declares All ICOs As Securities
 
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Breaking News: SEC Chairman Declares All ICOs As Securities Subscribe: http://bit.ly/CryptoCoinNewsYT Jay Clayton, the head of the Securities and Exchange Commission (SEC) has made an announcement on CNBC with regards to ICO's. According to the SEC, all tokens or digital assets that were used to raise funds for a venture or company with an expectation of profit, either given by the company formed or exchangeable on a secondary market, are classified as securities, meaning that most ICO's would fall under this definition. The chairman also underlined that the agency won't be adjusting the current rules of the SEC for Initial Coin Offerings. Clayton was not entirely against the technology provided by the blockchain industry, stating that distributed ledger technology provides incredible promise not only in the financial market but in other areas too. Finally, the SEC representative said that cryptocurrencies like Bitcoin should not be considered as a security, given that they do not seek to fund a project in exchange for a return.
Views: 15539 CryptoCoin.News
SEC vs KIK: Inside the Securities and Exchange Commission Ruling
 
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The Security Token Academy held its fourth meetup in Southern California. It took place inside Maggiano’s at The Grove in Los Angeles. Security Token Academy host Amy Wan, discusses the latest rulings by the Securities Exchange Commission with Marc Boiron, attorney at FisherBroyles, LLP. You’ll hear him discuss the recent SEC ruling involving messaging app KIK, offshore rulings and more in this expert interview. Learn more at https://www.securitytokenacademy.com/
SEBI - Powers of Securities and Exchange Board of India (SP)
 
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Powers of SEBI - Secretrial Practice/SP, Class 12/Std XIIth CBSE/NCERT Financial Markets, Business Studies ICSE/ISC Class 11 - Commerce | Commercial Studies #sebi #powers #powersofsebi
Views: 946 My Learnings
Expanding Your Prospect Research: Understanding Securities and Exchange Commission (SEC) Filings
 
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Identifying, evaluating, and contacting potential prospects for your nonprofit organization is a time-consuming task. With the help of public information, however, the task can be made easier. One source of such information is the U.S. Securities and Exchange Commission (SEC) filings. An SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission. Public companies, certain insiders, and broker-dealers are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. Among other important data, these filings provide information on the compensation of key executives, who are often board members and significant stake holders in public companies. Our speaker has fifteen years of experience as a corporate librarian. He explains how to take the complicated SEC filings and make them a road map to your prospect researching. Suggested Websites for Further Information: *Securities and Exchange Commission: www.sec.gov --official website for the SEC *Secdatabase.com: www.secdatabase.com --free full text and archived EDGAR documents *Big Charts: www.bigcharts.com --interactive stock charts and stock quotes *Marketwatch.com: www.marketwatch.com --financial markets, stock quotes and company news *Yahoo Finance: www.finance.yahoo.com --basic company snapshots, news and stock quotes *Investopedia.com: www.investopedia.com --investment terms and definitions
Views: 1594 Candid
SEC alerts public anew on unauthorized investment companies
 
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Millions of pesos were taken from the victims of the new alleged investment scam in Parañaque City. Securities and Exchange Commission (SEC) is now alerting the public against the two other public companies that are not authorized to solicit investment. Subscribe to the ABS-CBN News channel! - http://bit.ly/TheABSCBNNews Watch the full episodes of Bandila on TFC.TV http://bit.ly/BANDILA-TFCTV and on IWANT.TV for Philippine viewers, click: http://bit.ly/BANDILA-IWANTV Visit our website at http://www.abs-cbnnews.com Facebook: https://www.facebook.com/abscbnNEWS Twitter: https://twitter.com/abscbnnews
Views: 5883 ABS-CBN News
2018 Public Sector Summit Keynote – The US Securities and Exchange Commission
 
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Chief Information Office, Pamela Dyson, shares share insights on how the SEC utilizes the cloud to spur innovation within their organization. Learn more: https://aws.amazon.com/government-education/
Views: 262 Amazon Web Services
Work at the Securities and Exchange Commission
 
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The SEC is looking for the best and brightest to help strengthen their team in order to better serve as the investor's advocate. A career with the Securities and Exchange Commission offers . . . Work that is exciting, challenging and meaningful. Experience working on cutting edge issues and an opportunity to make a difference for investors in America. Careers that broaden and deepen your already accomplished knowledge, skills and abilities. Opportunity to contribute to the future of investing in the United States. A challenging environment to work and learn with the nation's experts. Benefits, compensation, training, career expansion and a balance with your personal life.
What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)
 
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Prior to the enactment of the federal securities laws and the creation of the SEC, there existed so-called blue sky laws. They were enacted and enforced at the state level, and regulated the offering and sale of securities to protect the public from fraud. Though the specific provisions of these laws varied among states, they all required the registration of all securities offerings and sales, as well as of every U.S. stockbroker and brokerage firm.[4] However, these blue sky laws were generally found to be ineffective. For example, the Investment Bankers Association told its members as early as 1915 that they could "ignore" blue sky laws by making securities offerings across state lines through the mail.[5] After holding hearings on abuses on interstate frauds (commonly known as the Pecora Commission), Congress passed the Securities Act of 1933 (15 U.S.C. § 77a), which regulates interstate sales of securities (original issues) at the federal level. The subsequent Securities Exchange Act of 1934 (15 U.S.C. § 78d) regulates sales of securities in the secondary market. Section 4 of the 1934 act created the U.S. Securities and Exchange Commission to enforce the federal securities laws; both laws are considered parts of Franklin D. Roosevelt's New Deal raft of legislation. The Securities Act of 1933 is also known as the "Truth in Securities Act" and the "Federal Securities Act”, or just the "1933 Act." Its goal was to increase public trust in the capital markets by requiring uniform disclosure of information about public securities offerings. The primary drafters of 1933 Act were Huston Thompson, a former Federal Trade Commission (FTC) chairman, and Walter Miller and Ollie Butler, two attorneys in the Commerce Department's Foreign Service Division, with input from Supreme Court Justice Louis Brandeis. For the first year of the law's enactment, the enforcement of the statute rested with the Federal Trade Commission, but this power was transferred to the SEC following its creation in 1934. (Interestingly, the first, rejected draft of the Securities Act written by Samuel Untermyer vested these powers in the U.S. Post Office, because Untermyer believed that only by vesting enforcement powers with the postal service could the constitutionality of the act be assured.[5]) The law requires that issuing companies register distributions of securities with the SEC prior to interstate sales of these securities, so that investors may have access to basic financial information about issuing companies and risks involved in investing in the securities in question. Since 1994, most registration statements (and associated materials) filed with the SEC can be accessed via the SEC’s online system, EDGAR.[6] The Securities Exchange Act of 1934 is also known as "the Exchange Act" or "the 1934 Act". This act regulates secondary trading between individuals and companies which are often unrelated to the original issuers of securities. Entities under the SEC’s authority include securities exchanges with physical trading floors such as the New York Stock Exchange (NYSE), self-regulatory organizations (SROs) such as the National Association of Securities Dealers (NASD), the Municipal Securities Rulemaking Board (MSRB), online trading platforms such as the NASDAQ Stock Market (NASDAQ) and alternative trading systems (ATSs), and any other persons (e.g., securities brokers) engaged in transactions for the accounts of others.[7] President Roosevelt appointed Joseph P. Kennedy, Sr., father of President John F. Kennedy, to serve as the first Chairman of the SEC, along with James M. Landis (one of the architects of the 1934 Act and other New Deal legislation) and Ferdinand Pecora (Chief Counsel to the United States Senate Committee on Banking and Currency during its investigation of Wall Street banking and stock brokerage practices). Other prominent SEC commissioners and chairmen include William O. Douglas (who went on to be a U.S. Supreme Court justice), Jerome Frank (one of the leaders of the legal realism movement), and William J. Casey (who later headed the Central Intelligence Agency under President Ronald Reagan). https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 1780 Remember This
Judge tells Elon Musk and Securities Exchange Commission to settle dispute
 
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A New York judge has urged the U.S. Securities and Exchange Commission and Tesla CEO Elon Musk to settle a dispute over what he may disclose in his tweets.
Views: 7813 CBS News
The United States Securities and Exchange Commission (SEC) Investigations
 
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Understanding the SEC and what may trigger an SEC investigation are important considerations for foreign investors. Having your company investigated by the SEC is something any investor should avoid at all costs. Mayer Brown partner Richard Rosenfeld shares tips for avoiding such an investigation.
Views: 416 Mayer Brown
Securities and Exchange Commission  seeks to oust Tesla CEO Musk
 
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(28 Sep 2018) The US Securities and Exchange Commission (SEC) has asked a federal court to oust Elon Musk as Tesla's chairman and CEO, alleging he committed securities fraud with false statements about plans to take the company private. The agency says in a complaint filed on Thursday that Musk falsely claimed in an August 7 statement on Twitter that funding had been secured for Tesla to go private at US$420 per share, a substantial premium over the stock price at the time. A SEC press release said the agency asked the US District Court in Manhattan for a "bar prohibiting Musk from serving as an officer or director of a public company". It also asked for an order enjoining Musk from making false and misleading statements along with repayment of any gains as well as civil penalties. Ousting Musk, who has a huge celebrity status with more than 22 million Twitter followers, would be difficult and could damage the company. He's viewed by many shareholders as the leader and brains behind Tesla's electric car and solar panel operations. The stock market shuddered at the prospect with shares of Tesla plungeing nearly 12 percent in extended trading on Thursday. Musk, in a statement issued by Tesla, called the SEC action unjustified. Find out more about AP Archive: http://www.aparchive.com/HowWeWork Twitter: https://twitter.com/AP_Archive Facebook: https://www.facebook.com/APArchives Google+: https://plus.google.com/b/102011028589719587178/+APArchive​ Tumblr: https://aparchives.tumblr.com/​​ Instagram: https://www.instagram.com/APNews/ You can license this story through AP Archive: http://www.aparchive.com/metadata/youtube/7d12a913ae854732404db38b33eddccd
Views: 117 AP Archive
Introduction to The Securities And Exchange Commission of Pakistan (SECP)
 
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This video production is presented by London View Chambers, a set of Barristers' Chambers that is headquartered in London. The Barristers at London View Chambers specialise, amongst other areas of law, in financial regulation and compliance in European, North American and Asian continents. The Securities and Exchange Commission of Pakistan is the regulator of corporate sector, capital markets, insurance sector and Non-bank Finance Corporations (NBFCs) in Pakistan. SECP is a large organisation with an array of departments and has an army of staff. It is getting even bigger, more efficient and more organised. This video explains SECP's structure, the hierarchy of its officers, the working of various departments and their inter-relationship. A production of LONDON ART & MEDIA
Views: 4669 London View Chambers
What is SEBI ? #SEBI kya hai #Securities and Exchange Board of India
 
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#SEBI #sebi kaya hai #what is sebi #Securities and Exchange Board of India Watch this Video also: 1-Computer Fundamental and Gk https://www.youtube.com/watch?v=Zt0WacJlH5c&list=PLcqstEVnJwDAdGlXk3vvF7WaHokp0wLU4 2-CCC Tutorial https://www.youtube.com/playlist?list=PLcqstEVnJwDB8x-wdR7uMUAp0LVtXqaX7 3- Windows Tutorial https://www.youtube.com/playlist?list=PLcqstEVnJwDDkv59hTHxr9kDDU3dr5MFM 4- Ms-Word Tutorial https://www.youtube.com/playlist?list=PLcqstEVnJwDAmPVb7vpfiJGE8V57mL5Kp
Views: 11130 Jk EduTech
Perspectives on securities regulation: A conversation with SEC Chairman Jay Clayton
 
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On Thursday, September 28, the Center on Regulation and Markets at Brookings hosted an event exploring the opportunities and challenges facing securities markets ten years after the financial crisis. https://www.brookings.edu/events/perspectives-on-securities-regulation/ (transcript available) Subscribe! http://www.youtube.com/subscription_center?add_user=BrookingsInstitution Follow Brookings on social media! Facebook: http://www.Facebook.com/Brookings Twitter: http://www.twitter.com/BrookingsInst Instagram: http://www.Instagram.com/brookingsinst LinkedIn: http://www.linkedin.com/com/company/the-brookings-institution
Views: 1039 Brookings Institution
How To Know about The Securities and Exchange Board of India (SEBI) in TAMIL
 
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The Securities and Exchange Board of India (SEBI) is the regulator for the securities market in India. It was established in the year 1988 and given statutory powers on 30 January 1992 through the SEBI Act, 1992. SEBI has to be responsive to 3 groups which constitute the market: The issuer of securities The investor The market intermediaries With the growth in the dealings of stock markets, lot of malpractices also started in stock markets such as price rigging, ‘unofficial premium on new issue, and delay in delivery of shares, violation of rules and regulations of stock exchange and listing requirements. Due to these malpractices the customers started losing confidence and faith in the stock exchange. So government of India decided to set up an agency or regulatory body known as Securities Exchange Board of India (SEBI). It was officially established by The Government of India in the year 1988 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament. SEBI has its Headquarters at the business district of Bandra Kurla Complex in Mumbai, and has Northern, Eastern, Southern and Western Regional Offices in New Delhi, Kolkata, Chennai and Ahmedabad respectively. Controller of Capital Issues was the regulatory authority before SEBI came into existence; it derived authority from the Capital Issues (Control) Act, 1947. Initially SEBI was a non statutory body without any statutory power. However in the year of 1995, the SEBI was given additional statutory power by the Government of India through an amendment to the Securities and Exchange Board of India Act, 1992. In April, 1988 the SEBI was constituted as the regulator of capital markets in India under a resolution of the Government of India. The SEBI is managed by its members, which consists of following: a) The chairman who is nominated by Union Government of India. b) Two members, i.e. Officers from Union Finance Ministry.c) One member from The Reserve Bank of India.d) The remaining 5 members are nominated by Union Government of India, out of them at least 3 shall be whole-time members. The office of SEBI is situated at SEBI Bhavan, Bandra Kurla Complex, Bandra East, Mumbai- 400051, with its regional offices at Kolkata, Delhi, Chennai & Ahmadabad. For further to register as member : http://app.aliceblueonline.com/OpenAccount.aspx?c=CTA Twitter : https://twitter.com/chennaittradin1 Facebook : https://www.facebook.com/chennaitradingacademy/ LinkedIn : https://www.linkedin.com/in/chennai-trading-academy-cta-b0571b165/
Hearing: FY 2019 Budget - U.S. Securities and Exchange Commission (EventID=108233)
 
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The House Appropriations Subcommittee on Financial Services and General Government holds a hearing on the FY19 budget request for the SEC on April 26, 2018. Subcommittee Chairman Graves presides. Witness: The Honorable Jay Clayton Chairman
I Filed A Complaint With The Securities And Exchange Commission On Gold Market Fixing.
 
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LINK to my complaint statement. PLEASE copy/paste it and file your own complaint. There is strength in numbers. Click here: https://steemit.com/money/@marketreport/i-just-filed-a-complaint-with-the-sec-regarding-gold-fixing-gregory-mannarino *EVERYTHING YOU NEED TO RIP THIS MARKETS FACE OFF IN ONE PLACE! Click here: https://www.traderschoice.net/ #1 Trading Tip: You beat the Stock Market by watching THE BOND MARKET. Period.. Click here: https://www.traderschoice.net/ *This is an animal shelter which I personally support financially with monthly donations. Please adopt homeless pets. Gregory Mannarino https://animalfoundation.com/
Views: 14021 Gregory Mannarino
The Latest Enforcement Actions by the Securities and Exchange Commission
 
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Security Token Academy held another meetup in Southern California. It took place inside Maggiano’s at The Grove in Los Angeles. Security Token Academy’s host, Amy Wan, discusses the latest enforcement actions by the Securities Exchange Commission with Marc Boiron, attorney at FisherBroyles, LLP. Learn about our next meetup: https://www.meetup.com/Security-Token-Los-Angeles/ For more videos visit: https://www.securitytokenacademy.com/
SEC warns public anew against investment scams
 
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Muling nagpaalala sa publiko ang Securities and Exchange Commission laban sa mga investment company na layon lamang makapanloko ng mga mamumuhunan. Subscribe to the ABS-CBN News channel! - http://bit.ly/TheABSCBNNews Watch the full episodes of Bandila on TFC.TV http://bit.ly/BANDILA-TFCTV and on IWANT.TV for Philippine viewers, click: http://bit.ly/BANDILA-IWANTV Visit our website at http://www.abs-cbnnews.com Facebook: https://www.facebook.com/abscbnNEWS Twitter: https://twitter.com/abscbnnews
Views: 14114 ABS-CBN News
Security and Exchange Commission (SEC)
 
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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"
Views: 486 Michael Cerullo
Conversation with the US Securities and Exchange Commission
 
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The SEC’s Mike Willis discusses topics with Vintage, a division of PR Newswire's Gordon Ruckdeshel. Learn about the status of the XBRL SEC program, enhancements underway like inline XBRL, how the SEC uses XBRL data and upcoming rule proposals where structured data is under consideration.
Views: 98 XBRL US
Introduction to SECP Securities and Exchange Commission of Pakistan Website|Tax Dosti Reporting|
 
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Introduction to SECP -Securities and Exchange Commission of Pakistan- Website|Tax Dosti Reporting|03-01-2019| Watch Video Here|https://youtu.be/l7dGAWoUpWI SECP Website|https://www.secp.gov.pk/ SECP Investors Website|https://jamapunji.pk/ SECP+FBR+EOBI Registeration|http://voss.gov.pk/voss/ An informative talk on video by Mr. Anthony Williams, CEO of TaxDosti, Pakistan. https://taxdosti.com/ TaxDosti is a two-way dialog, forum for Taxpayer Rights, deserved by honest Tax paying citizens. TaxDosti is a synergy of a group of positive, dynamic individuals, by facilitating Startups, Individuals, Freelancers, Businesses, etc TaxDosti offers legal services related to smart e-filing, smart tax planning, creating awareness of vital concepts, related to personal "Financial Literacy", personal "Financial Fragility". Mr. Williams brings with him over 20 years of experience in various business sections, with key expertise regarding income tax, wealth tax, sales tax, service tax, federal tax, taxation history, litigation, AI, Startup Incubator, author of news publications and articles.
Views: 1110 Tax Dosti
scores.gov.in: How to Lodge your Complaint with SEBI (Securities and Exchange Board of India)?
 
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* Read: https://www.dailytechtuts.com/4224/sebi-complaint/ In this video we will learn how you can file your grievance with SEBI (Securities and Exchange Board of India) using the official website of SCORES (Sebi COmplaints REdress System): https://scores.gov.in/ You can file your complaint against following: * Refund/Allotment/ Dividend/Transfer/Bonus/Rights/ Redemption/Interest * Pre listing/Offer Document (Shares) * Pre listing /Offer Document (Debentures & Bonds) * Delisting of securities * Buy back of securities * Takeover/Restructuring * Corporate Governance/Listing Conditions * Minimum Public Shareholding * Accounting Manipulation by Listed Companies * Registrars & Transfer Agents * Non-Demat/Remat * Brokers/Stock Exchanges * Stock Brokers * Sub-broker * Portfolio Managers * Stock Exchanges * Commodity Exchanges * Mutual Funds * Merchant Bankers * Debenture Trustee * KYC Registration Agency (KRA) * Price/Market Manipulation and Insider Trading * Faked document * Forged signature * Investment Adviser * Research Analyst * Collective Investment Scheme * Bankers to an Issue * Credit Rating Agencies * Custodian of Securities * Foreign Institutional Investors * Underwriters * Venture Capital Fund * Alternative Investment Fund * Infrastructure Investment Trust * Real Estate Investment Trust * Depository Participants/ Depository: You can file a complaint against your Depository Participant (DP) if you are facing any of the following issues with them: Denial in opening an account Account opened in another name than as requested Non receipt of Account Opening Kit Delay in activation/ opening of account Non Receipt of copy of DP Client Agreement/Schedule A of Charges Delay in Dematerialisation request processing Delay in Rematerialisation request processing Delay in/ Non-Receipt of Original certificate after demat rejection Non Acceptance of demat/remat request Delay in/ Non-Receipt of Statements from DP Discrepancy in Transaction statement Insistence on Power of Attorney in favor of DP Deactivation/ Freezing/ Suspension related Defreezing related Transmission related Pledge related SMS related Non-updation of changes in account (address/ signatories/bank details/ PAN/ Nomination etc.) Wrong/ Excess Charges Charges paid, but not credited Charges for Opening/closure of Account Non acceptance of DIS for transfer Delay in / Non-Execution of DIS Delay in Issuance / Re-issuance of DIS Booklet Non closure/ delay in closure of account Closure of account without intimation by DP Unauthorized Transaction in account Manipulation Unauthorized changes in account (address/ signatories/bank details/PAN etc.) Note: The information provided under the categories of Price/market manipulation and Insider trading will be treated as market intelligence. Therefore, no complaint number and acknowledgement shall be sent to you by SEBI. Also, the same cannot be tracked through SCORES. This information shall be treated as confidential and will be analysed. If found necessary, further action will be taken by SEBI. The status of information cannot be ascertained as SEBI conducts the investigations confidentially in a holistic manner. In order to aid SEBI to carry out its surveillance activity, you are encouraged to provide correct and complete information. SEBI will neither confirm nor deny the existence of any investigation. Any regulatory actions taken by SEBI are published on the official website of SEBI. आइये जानते हैं इस वीडियो में की आप कैसे सेबी या भारतीय प्रतिभूति और विनिमय बोर्ड के पास अपनी शिकायत भेज सकते हैं? Aaiye jaante hai iss video mein ki aap kaise SEBI ya Bhartiya Pratibhuti aur Vinimay Board ke paas apni shikayat bhej sakte hai? *************************************** * Subscribe to DailyTechTuts: https://bit.ly/2sInRbV * Visit our website: https://www.dailytechtuts.com/ * Follow us on Twitter: https://twitter.com/DailyTechTuts * Like us on Facebook: https://www.facebook.com/DailyTechTuts * DailyTechTuts on Google Plus: https://plus.google.com/+MrinTechs * Email us: [email protected] *************************************** Royalty Free MUSIC Credit: Artist: Nicolai Heidlas (https://soundcloud.com/nicolai-heidlas) Title: Pacific Sun
Views: 1510 DailyTechTuts
Lucia v. Securities and Exchange Commission (SCOTUS-Toons)
 
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QUESTION: Are administrative law judges of the Securities and Exchange Commission Officers of the United States within the meaning of the Appointments Clause? IN THE SUPREME COURT OF THE UNITED STATES Raymond J. Lucia, et al., Petitioners v. Securities and Exchange Commission, Respondent. (No. 17-130) Washington, D.C. Monday, April 23, 2018 The above-entitled matter came on for oral argument before the Supreme Court of the United States at 10:03 a.m. APPEARANCES: MARK PERRY, ESQ., Washington, D.C.; on behalf of the Petitioners. JEFFREY B. WALL, Deputy Solicitor General, Department of Justice, Washington, D.C.; on behalf of the Respondent, in support of the Petitioners. ANTON METLITSKY, ESQ., New York, New York; on behalf of the Court-appointed amicus curiae in support of the judgment below. CONTENTS: (0:00) ORAL ARGUMENT OF: MARK PERRY, ESQ. On behalf of the Petitioners (12:01) ORAL ARGUMENT OF: JEFFRY B. WALL On behalf of the Respondent in support of the Petitioners (28:56) ORAL ARGUMENT OF: ANTON METLITSKY, ESQ. On behalf of the Court-appointed amicus curiae in support of the judgment below (55:30) REBUTTAL ARGUMENT OF: MARK PERRY, ESQ. On behalf of the Petitioners Transcript: https://www.supremecourt.gov/oral_arguments/argument_transcripts/2017/17-130_41p3.pdf Ruling: https://www.supremecourt.gov/opinions/17pdf/17-130_4f14.pdf More Info: https://www.oyez.org/cases/2017/17-130 ABOUT SCOTUS-TOONS: The SCOTUS does not allow cameras in the courtroom during oral arguments so if you want to see what happens during a Supreme Court case you have to make the video yourself. TWITTER: https://twitter.com/scotusToons REDDIT: https://reddit.com/r/scotusToons ---LINKS--- ITCH.IO: https://danielleemeeks.itch.io/ GAME JOLT: http://gamejolt.com/profile/danielleemeeks/915328 TWITCH.TV: https://www.twitch.tv/danielleemeeks TWITTER: https://twitter.com/DanielLeeMeeks INSTAGRAM: https://www.instagram.com/danielleemeeks/ TUMBLR: http://danielleemeeks.tumblr.com/ VINE: https://vine.co/u/1054292958427721728 YOUTUBE: http://youtube.com/DanielLeeMeeks --TAGS-- Anime Studio Pro 12, Moho Studio Pro 12, Unity 2017, SCOTUS, SUPREME COURT OF THE UNITED STATES, cartoon, animation, animated, John G. Roberts, Anthony M. Kennedy, Clarence Thomas, Ruth Bader Ginsburg, Stephen G. Breyer, Samuel Anthony Alito, Sonia Sotomayer, Neil M. Gorsush
Views: 550 Daniel Meeks
Securities and Exchange Commission of Cambodia(CSX) At AEON Mall_PhnomPenh
 
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Securities and Exchange Commission of Cambodia(CSX) +SUBSCRIBLE US: https://www.youtube.com/channel/UCYOMTMIK0OIf6Bbp0isGrnA?view_as=subscriber
Views: 21 VIBOL Vlogger
SEC & Crowdfunding Rules - Regulations, Laws Consideration
 
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http://crowdfundbeat.com/ Research on Reg CF, and Regulation A+ Marty Tate - Brian Korn - Amy Wan Brian Korn is a corporate and securities attorney at the law firm Manatt, Phelps & Phillips, LLP, Marty counsels his clients on various forms of structured finance, securities matters, private and public offerings, SEC reporting, 1934 and 1940 Act compliance, mergers and acquisitions, real estate financings, Amy Wan, Esq., CIPP/US is Partner at Trowbridge Sidoti LLP (CrowdfundingLawyers.net), where she advises on syndication and crowdfunding law. CrowdFund Beat Media International is an online source of news, information, events and resources for crowdfunding. We e-publish latest news and expert view related to the crowdfunding industry in the USA, Canada, UK, Italy, Germany, France, Holland and coming soon in Spain, Australia, Japan and China on a daily basis.
Views: 559 Fintech World