• What does The Securities and Exchange Commission do?

    Any questions? The Securities and Exchange Commission is a government entity created to regulate the trading in securities such as stocks and bonds. The "SEC" as it is known was created after the Great Depression to protect the public by regulating the trading in stocks and bonds. The goal is for the average investor, Joe Q, to have access to the same information as the executives who oversee or work for the public companies that are traded on the exchanges. All public companies must file their results with the SEC on a periodic basis, usually each quarter so that the public has access to the same information as the company executives. Also, the SEC makes sure that the "insiders" who work for the companies, do not have an unfair advantage to invest or trade in securities based on "inside"...

    published: 14 Feb 2013
  • Securities And Exchange Commission

    An Easy Overview Of The Securities And Exchange Commission

    published: 06 Nov 2012
  • SEBI | Securities and Exchange Board of India | all about SEBI

    Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations. #SEBI Securities Exchange Board of India (SEBI) was set up in 1988 to regulate the functions of securities market but it was not able to exercise complete control over the stock market transactions. It became an autonomous body by The Government of India on 12 April 1992 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament. SEBI has its Head Quarters at the business district of Bandra Kurla Complex in Mumbai, and has regional offices in New...

    published: 10 Feb 2017
  • SEC - The United States Securities And Exchange Commission

    What is SEC? The United States Securities and Exchange Comission was founded years and years ago to protect participants of the stock market. SEC offers services for investors and traders. You can use SEC EDGAR search to find financial information about any public stock. The United States Securities and Exchange Commission was create to protect participants of the stock market and to regulate buying and selling processess.

    published: 17 Feb 2015
  • Bangladesh Securities and Exchange Commission

    Video on capital market

    published: 05 Jan 2017
  • What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)

    Prior to the enactment of the federal securities laws and the creation of the SEC, there existed so-called blue sky laws. They were enacted and enforced at the state level, and regulated the offering and sale of securities to protect the public from fraud. Though the specific provisions of these laws varied among states, they all required the registration of all securities offerings and sales, as well as of every U.S. stockbroker and brokerage firm.[4] However, these blue sky laws were generally found to be ineffective. For example, the Investment Bankers Association told its members as early as 1915 that they could "ignore" blue sky laws by making securities offerings across state lines through the mail.[5] After holding hearings on abuses on interstate frauds (commonly known as the Peco...

    published: 23 Jul 2015
  • What is the Securities and Exchange Commission?

    http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/ What is the Securities and Exchange Commission?

    published: 10 Jun 2016
  • The Arrogance of the Securities and Exchange Commission

    Financial Services Committee
 
"Assessing the Madoff Ponzi Scheme and Regulatory Failures" Chairman, Paul Kanjorski - statements after morning recess

    published: 20 Oct 2010
  • Securities and Exchange Commission (Philippines)

    See Securities and Exchange Commission for other similarly named organizations in other countries The Securities and Exchange Commission is the agency of the Government of the Philippines responsible for regulating the securities industry in the Philippines. The SEC is an agency within the Office of the President of the Philippines. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video

    published: 08 Dec 2015
  • Paul Elio presents to the Securities and Exchange Commission

    SEC - Advisory Committee on Small and Emerging Companies Meeting July 19, 2016 Elio Motors Founder & CEO Paul Elio provides an update on the utilization of Regulation A+.

    published: 26 Oct 2016
  • What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance

    Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operat...

    published: 17 Nov 2015
  • Securities And Exchange Board Of India

    An Easy Overview Of The Securities And Exchange Board Of India

    published: 06 Nov 2012
  • Securities and Exchange Commision

    -- Created using PowToon -- Free sign up at http://www.powtoon.com/youtube/ -- Create animated videos and animated presentations for free. PowToon is a free tool that allows you to develop cool animated clips and animated presentations for your website, office meeting, sales pitch, nonprofit fundraiser, product launch, video resume, or anything else you could use an animated explainer video. PowToon's animation templates help you create animated presentations and animated explainer videos from scratch. Anyone can produce awesome animations quickly with PowToon, without the cost or hassle other professional animation services require.

    published: 16 Jan 2016
  • Securities and Exchange Commision SEC or Self Regulation?

    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?

    published: 11 Jul 2015
  • SECURITIES EXCHANGE COMMISSION

    published: 19 May 2015
  • Securities and Exchange Commissions History Video

    SWAG

    published: 03 Mar 2011
What does The Securities and Exchange Commission do?

What does The Securities and Exchange Commission do?

  • Order:
  • Duration: 2:41
  • Updated: 14 Feb 2013
  • views: 15175
videos
Any questions? The Securities and Exchange Commission is a government entity created to regulate the trading in securities such as stocks and bonds. The "SEC" as it is known was created after the Great Depression to protect the public by regulating the trading in stocks and bonds. The goal is for the average investor, Joe Q, to have access to the same information as the executives who oversee or work for the public companies that are traded on the exchanges. All public companies must file their results with the SEC on a periodic basis, usually each quarter so that the public has access to the same information as the company executives. Also, the SEC makes sure that the "insiders" who work for the companies, do not have an unfair advantage to invest or trade in securities based on "inside" information that is not yet available to the public. So, the SEC is like an investment police force!
https://wn.com/What_Does_The_Securities_And_Exchange_Commission_Do
Securities And Exchange Commission

Securities And Exchange Commission

  • Order:
  • Duration: 1:02
  • Updated: 06 Nov 2012
  • views: 1735
videos https://wn.com/Securities_And_Exchange_Commission
SEBI | Securities and Exchange Board of India | all about SEBI

SEBI | Securities and Exchange Board of India | all about SEBI

  • Order:
  • Duration: 7:07
  • Updated: 10 Feb 2017
  • views: 25
videos
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations. #SEBI Securities Exchange Board of India (SEBI) was set up in 1988 to regulate the functions of securities market but it was not able to exercise complete control over the stock market transactions. It became an autonomous body by The Government of India on 12 April 1992 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament. SEBI has its Head Quarters at the business district of Bandra Kurla Complex in Mumbai, and has regional offices in New Delhi, Kolkata, Chennai and Ahmedabad. SEBI is managed by the following members of the board: • The Chairman who is nominated by the Union Government of India. Shri U. K. Sinha, Chairman, SEBI • Two members from the Union Finance Ministry • One member from the Reserve Bank of India • The remaining 5 members are nominated by the Union Government of India, PREAMBLE (introduction) The Preamble of the Securities and Exchange Board of India describes the basic functions of the Securities and Exchange Board of India as "...to protect the interests of investors in securities and to promote the development of, and to regulate the securities market and for matters connected therewith or incidental thereto" Purpose and Role of SEBI: SEBI was set up with the main purpose of keeping a check on malpractices and protect the interest of investors. It was set up to meet the needs of three groups. 1. Issuers: For issuers it provides a market place in which they can raise finance fairly and easily. 2. Investors: For investors it provides protection and supply of accurate and correct information. 3. Intermediaries: For intermediaries it provides a competitive professional market. Functions of SEBI: i. Protective functions ii. Developmental functions iii. Regulatory functions. 1. Protective Functions: (i) It Checks Price Rigging: (ii) It Prohibits Insider trading: (iii) SEBI prohibits fraudulent and Unfair Trade Practices: (iv) SEBI undertakes steps to educate investors 2. Developmental Functions: (i) SEBI promotes training of intermediaries of the securities market. (ii) SEBI tries to promote activities of stock exchange by adopting flexible and adoptable approach in following way: (a) SEBI has permitted internet trading through registered stock brokers. (b) SEBI has made underwriting optional to reduce the cost of issue. (c) Even initial public offer of primary market is permitted through stock exchange. 3. Regulatory Functions: (i) SEBI has framed rules and regulations and a code of conduct to regulate the intermediaries such as merchant bankers, brokers, underwriters, etc. (ii) These intermediaries have been brought under the regulatory purview and private placement has been made more restrictive. (iii) SEBI registers and regulates the working of stock brokers, sub-brokers, share transfer agents, trustees, merchant bankers and all those who are associated with stock exchange in any manner. (iv) SEBI registers and regulates the working of mutual funds etc. (v) SEBI regulates takeover of the companies. (vi) SEBI conducts inquiries and audit of stock exchanges.
https://wn.com/Sebi_|_Securities_And_Exchange_Board_Of_India_|_All_About_Sebi
SEC - The United States Securities And Exchange Commission

SEC - The United States Securities And Exchange Commission

  • Order:
  • Duration: 3:01
  • Updated: 17 Feb 2015
  • views: 1517
videos
What is SEC? The United States Securities and Exchange Comission was founded years and years ago to protect participants of the stock market. SEC offers services for investors and traders. You can use SEC EDGAR search to find financial information about any public stock. The United States Securities and Exchange Commission was create to protect participants of the stock market and to regulate buying and selling processess.
https://wn.com/Sec_The_United_States_Securities_And_Exchange_Commission
Bangladesh Securities and Exchange Commission

Bangladesh Securities and Exchange Commission

  • Order:
  • Duration: 9:15
  • Updated: 05 Jan 2017
  • views: 61
videos
Video on capital market
https://wn.com/Bangladesh_Securities_And_Exchange_Commission
What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)

What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)

  • Order:
  • Duration: 34:33
  • Updated: 23 Jul 2015
  • views: 1069
videos
Prior to the enactment of the federal securities laws and the creation of the SEC, there existed so-called blue sky laws. They were enacted and enforced at the state level, and regulated the offering and sale of securities to protect the public from fraud. Though the specific provisions of these laws varied among states, they all required the registration of all securities offerings and sales, as well as of every U.S. stockbroker and brokerage firm.[4] However, these blue sky laws were generally found to be ineffective. For example, the Investment Bankers Association told its members as early as 1915 that they could "ignore" blue sky laws by making securities offerings across state lines through the mail.[5] After holding hearings on abuses on interstate frauds (commonly known as the Pecora Commission), Congress passed the Securities Act of 1933 (15 U.S.C. § 77a), which regulates interstate sales of securities (original issues) at the federal level. The subsequent Securities Exchange Act of 1934 (15 U.S.C. § 78d) regulates sales of securities in the secondary market. Section 4 of the 1934 act created the U.S. Securities and Exchange Commission to enforce the federal securities laws; both laws are considered parts of Franklin D. Roosevelt's New Deal raft of legislation. The Securities Act of 1933 is also known as the "Truth in Securities Act" and the "Federal Securities Act”, or just the "1933 Act." Its goal was to increase public trust in the capital markets by requiring uniform disclosure of information about public securities offerings. The primary drafters of 1933 Act were Huston Thompson, a former Federal Trade Commission (FTC) chairman, and Walter Miller and Ollie Butler, two attorneys in the Commerce Department's Foreign Service Division, with input from Supreme Court Justice Louis Brandeis. For the first year of the law's enactment, the enforcement of the statute rested with the Federal Trade Commission, but this power was transferred to the SEC following its creation in 1934. (Interestingly, the first, rejected draft of the Securities Act written by Samuel Untermyer vested these powers in the U.S. Post Office, because Untermyer believed that only by vesting enforcement powers with the postal service could the constitutionality of the act be assured.[5]) The law requires that issuing companies register distributions of securities with the SEC prior to interstate sales of these securities, so that investors may have access to basic financial information about issuing companies and risks involved in investing in the securities in question. Since 1994, most registration statements (and associated materials) filed with the SEC can be accessed via the SEC’s online system, EDGAR.[6] The Securities Exchange Act of 1934 is also known as "the Exchange Act" or "the 1934 Act". This act regulates secondary trading between individuals and companies which are often unrelated to the original issuers of securities. Entities under the SEC’s authority include securities exchanges with physical trading floors such as the New York Stock Exchange (NYSE), self-regulatory organizations (SROs) such as the National Association of Securities Dealers (NASD), the Municipal Securities Rulemaking Board (MSRB), online trading platforms such as the NASDAQ Stock Market (NASDAQ) and alternative trading systems (ATSs), and any other persons (e.g., securities brokers) engaged in transactions for the accounts of others.[7] President Roosevelt appointed Joseph P. Kennedy, Sr., father of President John F. Kennedy, to serve as the first Chairman of the SEC, along with James M. Landis (one of the architects of the 1934 Act and other New Deal legislation) and Ferdinand Pecora (Chief Counsel to the United States Senate Committee on Banking and Currency during its investigation of Wall Street banking and stock brokerage practices). Other prominent SEC commissioners and chairmen include William O. Douglas (who went on to be a U.S. Supreme Court justice), Jerome Frank (one of the leaders of the legal realism movement), and William J. Casey (who later headed the Central Intelligence Agency under President Ronald Reagan). https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
https://wn.com/What_Does_The_Securities_And_Exchange_Commission_Do_Rules,_Regulations_(1989)
What is the Securities and Exchange Commission?

What is the Securities and Exchange Commission?

  • Order:
  • Duration: 2:02
  • Updated: 10 Jun 2016
  • views: 40
videos
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/ What is the Securities and Exchange Commission?
https://wn.com/What_Is_The_Securities_And_Exchange_Commission
The Arrogance of the Securities and Exchange Commission

The Arrogance of the Securities and Exchange Commission

  • Order:
  • Duration: 6:19
  • Updated: 20 Oct 2010
  • views: 4635
videos
Financial Services Committee
 
"Assessing the Madoff Ponzi Scheme and Regulatory Failures" Chairman, Paul Kanjorski - statements after morning recess
https://wn.com/The_Arrogance_Of_The_Securities_And_Exchange_Commission
Securities and Exchange Commission (Philippines)

Securities and Exchange Commission (Philippines)

  • Order:
  • Duration: 2:35
  • Updated: 08 Dec 2015
  • views: 706
videos
See Securities and Exchange Commission for other similarly named organizations in other countries The Securities and Exchange Commission is the agency of the Government of the Philippines responsible for regulating the securities industry in the Philippines. The SEC is an agency within the Office of the President of the Philippines. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
https://wn.com/Securities_And_Exchange_Commission_(Philippines)
Paul Elio presents to the Securities and Exchange Commission

Paul Elio presents to the Securities and Exchange Commission

  • Order:
  • Duration: 51:05
  • Updated: 26 Oct 2016
  • views: 5789
videos
SEC - Advisory Committee on Small and Emerging Companies Meeting July 19, 2016 Elio Motors Founder & CEO Paul Elio provides an update on the utilization of Regulation A+.
https://wn.com/Paul_Elio_Presents_To_The_Securities_And_Exchange_Commission
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance

What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance

  • Order:
  • Duration: 30:14
  • Updated: 17 Nov 2015
  • views: 1438
videos
Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operations of the industry. In practice, the SEC delegates most of its enforcement and rulemaking authority to FINRA. In fact, all trading firms not regulated by other SROs must register as a member of FINRA. Individuals trading securities must pass exams administered by FINRA to become registered representatives.[11][12] The Investment Management Division oversees registered investment companies, which include mutual funds, as well as registered investment advisors. These entities are subject to extensive regulation under various federals securities laws.[13] The Division of Investment Management administers various federal securities laws, in particular the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include:[14] assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff; responding to no-action requests and requests for exemptive relief; reviewing investment company and investment adviser filings; assisting the Commission in enforcement matters involving investment companies and advisers; and advising the Commission on adapting SEC rules to new circumstances. The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. The SEC generally conducts investigations in private. The SEC's staff may seek voluntary production of documents and testimony, or may seek a formal order of investigation from the SEC, which allows the staff to compel the production of documents and witness testimony. The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.[15] Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the Commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC. This office has played a role in such areas as working with the Financial Accounting Standards Board to develop Generally Accepted Accounting Principles, the Public Company Accounting Oversight Board in developing audit requirements, and the International Accounting Standards Board in advancing the development of International Financial Reporting Standards; The Office of Compliance, Inspections and Examinations, which inspects broker-dealers, stock exchanges, credit rating agencies, registered investment companies, including both closed-end and open-end (mutual funds) investment companies, money funds. and Registered Investment Advisors; The Office of International Affairs, which represents the SEC abroad and which negotiates international enforcement information-sharing agreements, develops the SEC's international regulatory policies in areas such as mutual recognition, and helps develop international regulatory standards through organizations such as the International Organization of Securities Commissions and the Financial Stability Forum; The Office of Investor Education and Advocacy, which helps educate the public about securities markets and warns investors of fraud and stock market scams; The Office of Economic Analysis, which helps the SEC estimate the economic costs and benefits of its various rules and regulations; and The Office of Information Technology, which supports the Commission and staff in information technology, including application development, infrastructure operations. and engineering, user support, IT program management, capital planning, security, and enterprise architecture. The Inspector General. The SEC announced in January 2013 that it had named Carl Hoecker the new inspector general.[16][17] He has a staff of 22. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
https://wn.com/What_Is_The_Securities_Exchange_Commission_Is_It_Effective_U.S._Finance
Securities And Exchange Board Of India

Securities And Exchange Board Of India

  • Order:
  • Duration: 0:37
  • Updated: 06 Nov 2012
  • views: 2275
videos
An Easy Overview Of The Securities And Exchange Board Of India
https://wn.com/Securities_And_Exchange_Board_Of_India
Securities and Exchange Commision

Securities and Exchange Commision

  • Order:
  • Duration: 1:02
  • Updated: 16 Jan 2016
  • views: 40
videos
-- Created using PowToon -- Free sign up at http://www.powtoon.com/youtube/ -- Create animated videos and animated presentations for free. PowToon is a free tool that allows you to develop cool animated clips and animated presentations for your website, office meeting, sales pitch, nonprofit fundraiser, product launch, video resume, or anything else you could use an animated explainer video. PowToon's animation templates help you create animated presentations and animated explainer videos from scratch. Anyone can produce awesome animations quickly with PowToon, without the cost or hassle other professional animation services require.
https://wn.com/Securities_And_Exchange_Commision
Securities and Exchange Commision SEC or Self Regulation?

Securities and Exchange Commision SEC or Self Regulation?

  • Order:
  • Duration: 1:44
  • Updated: 11 Jul 2015
  • views: 40
videos
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?
https://wn.com/Securities_And_Exchange_Commision_Sec_Or_Self_Regulation
SECURITIES EXCHANGE COMMISSION

SECURITIES EXCHANGE COMMISSION

  • Order:
  • Duration: 5:04
  • Updated: 19 May 2015
  • views: 311
videos
https://wn.com/Securities_Exchange_Commission
Securities and Exchange Commissions History Video

Securities and Exchange Commissions History Video

  • Order:
  • Duration: 3:33
  • Updated: 03 Mar 2011
  • views: 457
videos https://wn.com/Securities_And_Exchange_Commissions_History_Video
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