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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: 32464 FinLit
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
 
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Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operations of the industry. In practice, the SEC delegates most of its enforcement and rulemaking authority to FINRA. In fact, all trading firms not regulated by other SROs must register as a member of FINRA. Individuals trading securities must pass exams administered by FINRA to become registered representatives.[11][12] The Investment Management Division oversees registered investment companies, which include mutual funds, as well as registered investment advisors. These entities are subject to extensive regulation under various federals securities laws.[13] The Division of Investment Management administers various federal securities laws, in particular the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include:[14] assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff; responding to no-action requests and requests for exemptive relief; reviewing investment company and investment adviser filings; assisting the Commission in enforcement matters involving investment companies and advisers; and advising the Commission on adapting SEC rules to new circumstances. The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. The SEC generally conducts investigations in private. The SEC's staff may seek voluntary production of documents and testimony, or may seek a formal order of investigation from the SEC, which allows the staff to compel the production of documents and witness testimony. The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.[15] Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the Commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC. This office has played a role in such areas as working with the Financial Accounting Standards Board to develop Generally Accepted Accounting Principles, the Public Company Accounting Oversight Board in developing audit requirements, and the International Accounting Standards Board in advancing the development of International Financial Reporting Standards; The Office of Compliance, Inspections and Examinations, which inspects broker-dealers, stock exchanges, credit rating agencies, registered investment companies, including both closed-end and open-end (mutual funds) investment companies, money funds. and Registered Investment Advisors; The Office of International Affairs, which represents the SEC abroad and which negotiates international enforcement information-sharing agreements, develops the SEC's international regulatory policies in areas such as mutual recognition, and helps develop international regulatory standards through organizations such as the International Organization of Securities Commissions and the Financial Stability Forum; The Office of Investor Education and Advocacy, which helps educate the public about securities markets and warns investors of fraud and stock market scams; The Office of Economic Analysis, which helps the SEC estimate the economic costs and benefits of its various rules and regulations; and The Office of Information Technology, which supports the Commission and staff in information technology, including application development, infrastructure operations. and engineering, user support, IT program management, capital planning, security, and enterprise architecture. The Inspector General. The SEC announced in January 2013 that it had named Carl Hoecker the new inspector general.[16][17] He has a staff of 22. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 6155 Way Back
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: 2237 eHow
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: 6381 Joyful Investor
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: 1730 Remember This
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
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?
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: 3061 Audiopedia
Securities And Exchange Commission
 
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An Easy Overview Of The Securities And Exchange Commission
Views: 2028 Christopher Hunt
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: 252 Shmoop
Definition of a Penny Stock by U.S. Securities and Exchange Commission (SEC)
 
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If you like the video please like & share the video & do subscribe to this channel for more such video. Thank you for watching the video.
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: 3791 London View Chambers
Securities and Exchange Commision SEC or Self Regulation?
 
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The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. If they have failed in the past, why should they be granted more power to fail in the future?
Views: 129 scottab140
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: 652 GMA News
Regulation of the Stock Market and the Securities and Exchange Commission SEC
 
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Gennecho Finance In this video we will go over Regulation of the Stock Market and the Securities and Exchange Commission SEC Personal Finance: Turning Money into Wealth by Arthur J. Keown http://amzn.to/2B3ROcR Sign up to Gennecho's weekly newsletter! http://gennechofinance.gr8.com/ Subscribe to our YouTube Channel Follow us on Twitter @GennechoFinance Like us on Facebook @gennechofinance Follow us on Instagram gennechofinance
Views: 43 Gennecho Learning
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: 7944 Edspira
New head for Securities and Exchange Commission
 
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(3 Jun 2005) ++AUDIO AS INCOMING++ 1. US President George W. Bush and Representative Christopher Cox (Republican of California) walk to lectern 2. SOUNDBITE: (English) George W. Bush, US President: "I'm pleased to announce my nomination of Congressman Chris Cox of California as our next Chairman of the Securities and Exchange Commission (SEC). As a champion of the free enterprise system in Congress, Chris Cox knows that a free economy is built on trust. In the years ahead Chris will vigorously enforce the rules and laws that guarantee honesty and transparency in our markets and corporate boardrooms." 3. Cox and Bush 4. SOUNDBITE: (English) George W. Bush, US President: "I've given Chris a clear mission: to continue to strengthen the public trust in our markets so the American economy can continue to grow and create jobs." 5. Cox listening 6. Cox's wife and children listening 7. Cox stepping to lectern 8. SOUNDBITE (English) Rep. Chris Cox, Nominee as Chairman of the SEC: "The natural enemies of this economic marvel are fraud and unfair dealing. Congress and your administration, Mr. President, have both done their part to strengthen the laws that protect investors and our financial markets and if confirmed, I look forward to carrying out that mandate and the special role occupied by the Securities and Exchange Commission." 9. Wide of room 10. Cox and Bush shake hands and walk off STORYLINE: US President George W Bush on Thursday named conservative Congressman Christopher Cox to lead the Securities and Exchange Commission (SEC). Cox would succeed William Donaldson, who announced the day before he was stepping down after 28 months on the job. "As a champion of the free enterprise system in Congress, Chris Cox knows that a free economy is built on trust. In the years ahead Chris will vigorously enforce the rules and laws that guarantee honesty and transparency in our markets and corporate boardrooms." Bush said with Cox at his side at the White House ceremony. 52-year-old Cox, a member of the House Republican leadership, has a wide-ranging background, from foreign policy and economic issues to homeland security. He has represented California in Congress for 16 years. Donaldson's aggressive regulation antagonised some business leaders and their allies in the administration and in Congress. Still, Bush said that Cox would continue to press for forceful regulation. Bush said he gave Cox a clear mission to continue to strengthen the public trust in US markets so the American economy can continue to grow and create jobs. For his part, Cox said he was "deeply honoured" by Bush's faith in him. Cox vowed to stand up for "clear and consistently enforced rules" if confirmed by the Senate. You can license this story through AP Archive: http://www.aparchive.com/metadata/youtube/4db714f45e2ce7c2902e735de1bcbc9c Find out more about AP Archive: http://www.aparchive.com/HowWeWork
Views: 64 AP Archive
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: 1523 Candid
Philippines Securities and Exchange Commission Finalizing Cryptocurrency Regulations for 2018
 
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On Jan. 29, Philippine SEC Commissioner Emilio Aquino said the agency is finalizing cryptocurrency regulations for 2018.
SEBI (SECURITIES AND EXCHANGE BOARD OF INDIA)
 
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Views: 29173 Deep Talks
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: 12409 tp1murray
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
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.
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: 230 Amazon Web Services
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: 20342 blogmaverick
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/
Virtual Currencies: The Oversight Role of the U.S. Securities and Exchange Commission
 
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Virtual Currencies: The Oversight Role of the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission This is a video I believe anyone investing or getting into cryptocurrency should watch, understand, and learn. This meeting alone has been one of the reasons that nearly all cryptocurrencies are rising. The government can not regulate and is having problems with their own internal guidelines and rules for stocks, bonds, 401k, currency, and a whole bunch more. Why are they getting their hands into cryptocurrency? They do not have anything under control now. Should they start regulating Pokemon Cards as well? Some really good points being brought up for example with Russia and India wanting to create their own Cryptocurrency how will the United States try and regulate it. (Kinda funny the USA regulating a Russian or Indian currency... Good luck) I get the primary concern is ICO and Money Laundering. But it seem the US is about to go toe to toe with other countries and trying to enforce their regulation. No one controls Bitcoin and to them they think of this as an opportunity to tax people and make money. But they are finding out their hands are tied and no one supports what they want. Things are looking good for Bitcoin and Blockchain Technology. ---------- Crypto News TV Information ---------- **Crypto News TV Telegram Chat** http://bit.ly/2nokwzk **FREE $10 in Bitcoin on Coinbase** http://bit.ly/2ipXsdU **Receive FREE Bitcoin 100% Free** http://bit.ly/2jDB0hL **Cryptocurrency Podcast on iTunes** http://apple.co/2mNKdZT Contact Info: Website: https://cryptonewstv.com/ IG: https://www.instagram.com/cryptonewstv/ Donations: BTC: 171SaTtfo6byG3QYCkh8twyu7koDbHuM4J ETH: 0xA51829b418FEdBeadbdc90cc3474026e46EaDC1e NEO: AQ9iBvwu3hwzmdKR5D3ejg2suHQXrbMFcL
Views: 1193 Crypto News
Securities and Exchange Commission Orders Jay-Z to Appear in Court
 
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Securities and Exchange Commission Orders Jay-Z to Appear in Court On Thursday, the SEC announced it is investigating Iconix Brand Group Inc., which acquired Jay-Z’s retail company, Rocawear, for $200 million in 2007. The commission believes Iconix has violated federal securities laws regarding its financial reporting on the clothing brand. The SEC said it sent Jay-Z, born Shawn Carter, two subpoenas, one in November and the other in February, for which he failed to appear. Securities and Exchange Commi
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: 14008 Gregory Mannarino
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: 503 Tax Dosti
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/
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
 
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Under Cox's leadership, the SEC on September 17 and 18, 2008, imposed a variety of both permanent and emergency restrictions on short selling in response to the liquidity crisis. Abusive naked short selling, in which the seller intentionally fails to deliver the shares sold short in time for settlement, was banned outright, an exception for options market makers that had been in place for several years was eliminated,[94] and a new anti-fraud provision, Rule 10b-21, was adopted to give specific enforcement authority in such cases.[95] In September 2008, short selling of 799 financial stocks was temporarily curtailed[93] in response to rumors accompanied by heightened short selling activity in the shares of major financial institutions. On September 26, 2008, Cox ended the 2004 program for voluntary regulation of investment bank holding companies, begun under SEC Chairman William Donaldson and then-Director of Market Regulation (later SEC Commissioner) Annette Nazareth. The program "was fundamentally flawed from the beginning, because investment banks could opt in or out of supervision voluntarily," Cox said.[96] A critical report by the SEC inspector general that evaluated the program in light of the Bear Stearns near-failure in March 2008 found that while "Bear Stearns was compliant with the capital and liquidity requirements" at the time of its acquisition, "its collapse raises serious questions about the adequacy of these requirements." However, according to the Inspector General, his report "did not include a determination of the cause of Bear Stearns' collapse" or determine "whether any of these issues directly contributed to Bear Stearns' collapse." On that subject, the report stated, "we have no evidence linking these significant deficiencies with the cause of Bear Stearns' collapse."[97][98] Cox criticized the oversight program on the ground that because of its voluntary nature and the SEC's limited statutory authority, the agency could not force changes in the hundreds of unregulated subsidiaries of large investment banks such as Goldman Sachs, Morgan Stanley, Merrill Lynch, Lehman Brothers and Bear Stearns as bank regulators could do with bank holding companies. In testimony before Congress on several occasions in 2008, he asked for statutory authority to regulate investment bank holding companies.[99] In addition to the fact that the Gramm-Leach-Bliley Act did not give the SEC the authority to regulate large investment bank holding companies, Cox noted that investors were vulnerable to other regulatory gaps such as the fact that the $60 trillion market for credit default swaps was then completely unregulated. "Neither the SEC nor any regulator has authority even to require minimum disclosure", he said.[96] In testimony and public statements he urged Congress to enact remedial legislation.[100] Cox said that during the buildup of the credit crisis, when the credit rating agencies were still unregulated, they gave top credit ratings to financial instruments which packaged risky loans and spread the negative impacts of the credit crisis more broadly throughout the markets.[101] Following the first-time SEC registration of the credit rating agencies in September 2007 under newly enacted legislative authority, he ordered a 10-month examination of the three major rating agencies that uncovered significant weaknesses in their ratings practices for mortgage-backed securities and that called into question the impartiality of their ratings. The results were reported to Congress in July 2008.[102] The SEC immediately commenced a rulemaking which concluded on December 3, 2008 with approval of a series of measures to regulate the conflicts of interests, disclosures, internal policies, and business practices of credit rating agencies. The regulations were intended to ensure that firms provide more meaningful ratings and greater disclosure to investors concerning collateralized debt obligations and residential mortgage-backed securities. https://en.wikipedia.org/wiki/Christopher_Cox
Views: 212 Way Back
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: 380 Mayer Brown
OUR NON PROFIT APPLICATION IS NOW IN SECURITIES AND EXCHANGE COMMISSION (SEC)
 
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https://www.patreon.com/terenceflannery Our site is about many aspects of ordinary life in the Philippines. Our videos cover various projects, we have built a houses of the needy ,bringing smile to the Filipino kids . Ours is essentially a family oriented site aimed at those who seek a second chance at life. Our mission is to entertain to encourage and to inspire those who seek another way to live.
062118 -- “Oversight of the U.S. Securities and Exchange Commission” (EventID=108477)
 
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Thursday, June 21, 2018 (10:00 AM) -- Committee on Financial Services Hearing: “Oversight of the U.S. Securities and Exchange Commission”
Views: 1678 GOPFinancialServices
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: 46 Ramon Pollich
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
Views: 1279 Jk EduTech
A former Securities and Exchange Commission (SEC) prosecutor says the case against Phil Mickelson is
 
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AP TELEVISION New York - June 2, 2014 ++ NOTE: SOUNDBITES ARE SEPARATED BY BLACK FRAMES ++ 1. SOUNDBITE (ENGLISH): Robert Heim, Former SEC Prosecutor "Mickelson really has to establish here that the trades that he made were done without any sort of material nonpublic information coming into his possession so what the government is investigating is whether or nor Mr. Mickelson received a tip that would have alerted him to some upcoming offer for the Clorox company and in order for him to really succeed and exonerate himself he has to show that his trading was based on independent information and not on anything that he may have gleaned as a part of a tip from Billy Walters or Carl Icahn." 2. SOUNDBITE (ENGLISH): Robert Heim, Former SEC Prosecutor "I think the question about whether or not he's going to be impacted in terms of his image is a more complicated one because often times people when they became subject to these governmental investigations, even the question of improper conduct can be quite damaging for their reputation especially like Mr. Mickelson who has a very clean reputation. I think it's too early to tell right now, he did say he was cooperating so in the long run he may be able to weather this storm but I think over the next couple of weeks it's really going to be the make or break time for his future endorsements and his image." 3. SOUNDBITE (ENGLISH): Robert Heim, Former SEC Prosecutor "Carl Icahn really for 50 years has been a very activist, well-known investor. He's never really been in trouble before unlike many of his counterparts on Wall Street. Mr. Icahn does have the reputation of being a compliance oriented investor so that's one of the reasons that this case is so noteworthy. Mr. Icahn has instead he has done nothing wrong but at the same time any sort of implication of insider trading can be very damaging to his reputation so now at the end of his career it's going to be a question of whether he can survive with his reputation intact if these charges turn out to be true or not." 4. SOUNDBITE (ENGLISH): Robert Heim, Former SEC Prosecutor "It's been difficult for the SEC to find really solid evidence like an email or a smoking gun or even having some sort of recorded conversation so I think the SEC does have quite a challenge ahead of it and we'll have to see whether they can come up with enough evidence to charge Mr. Mickelson." You can license this story through AP Archive: http://www.aparchive.com/metadata/youtube/b4932f70a53df215ecbf226051ea9bf9 Find out more about AP Archive: http://www.aparchive.com/HowWeWork
Views: 50 AP Archive
Securities and Exchange Commission to deal with cyber fraud issue
 
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Like and subscribe for more videos The Securities and Exchange Commission (SEC) has said it will within the coming months issue new directives that will deal with cyber fraud cases and investment market. WEBSITE - https://www.gbcghanaonline.com Twitter - http://twitter.com/thegbcghana Facebook - http://facebook.com/gbcghana
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.
Officially filed with Securities and Exchange Commission
 
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Our real estate investing business FOM Holdings and Investments, LLC, a Phoenix Arizona based residential redevelopment company, has received confirmation from our attorney that FOM Holdings has been successfully filed with the SEC enabling us to legally market for the purpose of raising private money from both accredited and non accredited investors. #FlippinPhoenix #PrivateMoneyLending #BeYourOwnBank
Hearing: Securities and Exchange Commission Budget (EventID=104692)
 
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The House Appropriations Financial Services Subcommittee holds a hearing to review the FY 2017 budget request for the SEC. Witness The Honorable Mary Jo White Chair Securities and Exchange Commission
Hearing: Securities and Exchange Commission FY 2015 Budget (EventID=102004)
 
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On April 1, 2014, the House Appropriations Committee Subcommittee on Financial Services and General Government holds a budget hearing on the FY 2015 budget for the Securities and Exchange Commission. Chair Mary Jo White testifies. For more information, please visit: http://1.usa.gov/1dUBh4T
Securities and Exchange Commission Revokes Rappler License
 
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The Philippine Securities and Exchange Commission revoked the license of news organization Rappler in a ruling released Jan. 15.
Oteh must go, say staff of Securities and Exchange Commission.flv
 
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Staff of Securities and Exchange Commission demonstrating against how Director General of the Commission, Ms Arunma Oteh, is running the commission on Wednesday 25th September, 2012.
Views: 2537 Daily Trust
US Securities and Exchange Commission Image Film
 
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How does a government financial agency lure the best and brightest during a heady private-sector boom period? The U.S. Securities and Exchange Commission (SEC) had a problem: their best potential employees were being lured away by private-sector jobs on Wall Street. The SEC wanted to close the gap and draw recruits back to take another look at them with a corporate video. They also wanted to change the perception that the commission lacked the excitement or prestige of a private firm. Point7West was selected to produce their corporate recruiting video based on work we had done for the National Institutes of Health. Our SEC client liked how we were adept at finding visually exciting, fast-paced things to shoot even in a highly corporate, white wall office environment. Point7Wests experience producing image films also influenced their choice. They needed a video that could convey the fast pace and excitement of working at the SEC, while also showing viewers what the SEC does and the crucial role it plays in oversight, regulation, and policy in the nation. Another goal was to communicate just how many job opportunities were available. And, the video had to do it all in under four minutes. The final product was shown to financial industry recruits and career seekers across the country, with great results.
Views: 3925 point7west, Inc.