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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 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: 32395 FinLit
The Securities Exchange Commission: Priorities Going Forward
 
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September 5, 2017 Hosted by: the Institute for Corporate Governance and Finance, the Program on Corporate Compliance and Enforcement, and the Pollack Center Panelists: Jay Clayton, Chairman, Securities and Exchange Commission Stephanie Avakian, Co-Director, Division of Enforcement Steven Pekin, Co-Director, Division of Enforcement Peter Driscoll, Acting Director, Office of Compliance Moderators: Jennifer Arlen, Norma Z. Paige Professor of Law, Co-Director, Program on Corporate Compliance and Enforcement Edward Rock, Professor of Law, Director, Institute for Corporate Governance and Finance
Views: 697 NYU School of Law
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: 6146 Way Back
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?
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: 63 AP Archive
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: 2218 eHow
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: 634 GMA News
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: 12395 tp1murray
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: 500 Daniel Meeks
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
SolidX / VanEck Bitcoin ETF DELAYED by The Securities and Exchange Commission
 
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We're still very down, despite market experts calling for a big bull run... Nothing yet. 110 billion dollars. MEH! Nasdaq enters the space, Tron (TRX) gets listed on new exchanges and has tons of news, EOS pumps, and Bill Gates is pro crypto! We wait. In the meantime, Coinbase Pro adds Zcash (ZEC) and Coinbase allows FIAT withdrawals. It's pretty big news. Oh, and Trevon James with more money making schemes, this time with a clickbait title for ad revenue. GG. There is always bull run talk but now it seems to be somewhat substantiated by previously outside companies taking an active role in this space. When will the bull run start? It still might not come, no one knows the future. We will continue to monitor these markets so join Landon in his cryptocurrency research journey! Comment below and let me know your thoughts! Also beware of desperate publications reusing old stories for added FOMO and clicks... Learn to trust certain publications and always double check your information across multiple sources. Doing your own research has never been more important. Join Crypto Blessing by subscribing! Also follow us on twitter @BlessingCrypto *** The content seen on this channel is not financial advice, always do your own research (DYOR) and invest wisely. I immerse myself in these markets every day to bring you the relevant news as it happens, and am providing insight that should be considered my opinion! Happy investing everyone! #bitcoin #cryptocurrency #finance
Views: 1709 Crypto Blessing
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: 1192 Crypto News
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: 6362 Joyful Investor
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
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
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/
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.
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: 3057 Audiopedia
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
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: 1517 Candid
Securities and Exchange Commission-- Failing Investors
 
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Why the SEC does not protect the interests of investors. An insider's view.
Views: 467 Mark D
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.
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: 100 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: 3754 London View Chambers
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.
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 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: 20052 blogmaverick
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
The Capital Market, Securities and Exchange Commission
 
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Securities and Exchange Commission, Ghana. 3rd Capital Market Conference
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: 476 Michael Cerullo
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.
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
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: 379 Mayer Brown
Virtual Currencies The Oversight Role of the U S  Securities Exchange Commission
 
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Virtual Currencies The Oversight Role of the U S Securities Exchange Commission 6-Feb-2018
Views: 191 Andrew
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
Is the Securities Exchange Commission Effective? Arthur Levitt - Stocks, Investors (1995)
 
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Levitt was appointed to his first five-year term as Chairman of the SEC by President Clinton in July 1993 and reappointed in May 1998. He left the Commission on February 9, 2001, and was succeeded by Harvey Pitt. Levitt has said that he first learned of his being considered for the job from The Wall Street Journal. At the time Levitt came to the SEC, the Financial Accounting Standards Board (FASB) had proposed requiring companies to record stock options on their income statements, which split the accounting industry and was opposed by many in the American business community. According to a Merrill Lynch study, expensing stock options would have reduced profits among leading high-tech companies by 60% on average. Congress began to exert pressure on the FASB, and on May 3, 1994, the Senate, led by Democratic Senator Joe Lieberman, offered a non-binding resolution urging FASB not to adopt the proposed rule; the vote in favor was 88–9. Concerned that insensitivity to this sentiment in Congress might threaten FASB as an independent standard setter, Levitt urged the FASB to not go ahead with the rule proposal. He later said this "was probably the single biggest mistake I made in my years at the SEC."[6] In September 1998 at New York University, he gave a speech entitled "The Numbers Game". It addressed five ways in which corporations were managing earnings (big bath charges, creative acquisition accounting, cookie-jar reserves, materiality, revenue recognition). In his speech, Levitt advocated improving the transparency and comparability of financial statements. In 1997, the SEC under Levitt's leadership approved the exemption of some Enron partnerships from the tight accounting controls of the Investment Company Act of 1940. Without this exemption, critics maintain, the company would have been constrained by strict rules found in 1996 legislation that would have prohibited certain foreign investments and the shifting of debt to its foreign subsidiary shell companies. During Levitt's tenure at the SEC, he was widely viewed as a pro-investor advocate and received favorable press coverage. More recently he has come under criticism for failing to act against 1990s bull market abuses and not uncovering Bernard Madoff's Ponzi scheme. http://en.wikipedia.org/wiki/Arthur_Levitt The SEC has a three-part mission: to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. [3] The enforcement authority it received from Congress enables the SEC to bring civil enforcement actions against individuals or companies alleged to have committed accounting fraud, provided false information, or engaged in insider trading or other violations of the securities law. The SEC also works with criminal law enforcement agencies to prosecute individuals and companies alike for offenses that include a criminal violation. To achieve its mandate, the SEC enforces the statutory requirement that public companies submit quarterly and annual reports, as well as other periodic reports. In addition to annual financial reports, company executives must provide a narrative account, called the "management discussion and analysis" (MD&A), that outlines the previous year of operations and explains how the company fared in that time period. MD&A will usually also touch on the upcoming year, outlining future goals and approaches to new projects. In an attempt to level the playing field for all investors, the SEC maintains an online database called EDGAR (the Electronic Data Gathering, Analysis, and Retrieval system) online from which investors can access this and other information filed with the agency. Quarterly and semiannual reports from public companies are crucial for investors to make sound decisions when investing in the capital markets. Unlike banking, investment in the capital markets is not guaranteed by the federal government. The potential for big gains needs to be weighed against equally likely losses. Mandatory disclosure of financial and other information about the issuer and the security itself gives private individuals as well as large institutions the same basic facts about the public companies they invest in, thereby increasing public scrutiny while reducing insider trading and fraud. The SEC makes reports available to the public through the EDGAR system. The SEC also offers publications on investment-related topics for public education. The same online system also takes tips and complaints from investors to help the SEC track down violators of the securities laws. The SEC adheres to a strict policy of never commenting on the existence or status of an ongoing investigation. http://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 380 Way Back
Elon Musk Mocks The U.S. Securities And Exchange Commission
 
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On Thursday, hours after a federal judge ordered him and the regulator to justify their settlement of securities fraud charges, Tesla CEO Elon Musk mocked the U.S. Securities and Exchange Commission. Musk wrote on Twitter, "Just want to say that the Shortseller Enrichment Commission is doing incredible work. And the name change is so on point!” According to Reuters, the settlement is intended to resolve charges that Musk misled investors in tweets earlier this month, including that there was “funding secured” to take Tesla private. Musk has since agreed to pay a $20 million fine, and step down as Tesla’s chairman for the next three years. http://feeds.reuters.com/~r/reuters/topNews/~3/MBoy3FXuTeg/teslas-musk-ordered-to-defend-fraud-settlement-takes-aim-at-sec-idUSKCN1ME2CC http://www.wochit.com This video was produced by YT Wochit News using http://wochit.com
Views: 111 Wochit News
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: 480 Tax Dosti
Paul Elio presents to the Securities and Exchange Commission
 
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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+.
Views: 16155 Elio Motors
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
SECURITIES & EXCHANGE COMMISSION (SEC)
 
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বিএসইসির দুর্বলতার সুযোগে পুঁজিবাজারে সংকট II Bangladesh Securities and Exchange Commission
 
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প্রতি সপ্তাহেই অস্বাভাবিকভাবে বাড়ছে কিছু স্বল্প মূলধনী ও দুর্বল প্রতিষ্ঠানের শেয়ারের দাম। সপ্তাহের ব্যবধানে এসব কোম্পানির শেয়ারের দাম সর্বোচ্চ ১০ ভাগ বাড়ার নিয়ম থাকলেও তা বাড়ছে ৪৫ ভাগ পর্যন্ত। এ ব্যাপারে নিয়ন্ত্রক সংস্থা বিএসইসির দুর্বলতার সুযোগে পুঁজিবাজারে কৃত্রিম সংকট তৈরি করা হচ্ছে বলে মত বিশ্লেষকদের। Please Subscribe: https://www.youtube.com/user/independent24tube Find Us: Official Site: http://independent24.com/ Facebook Page: https://www.facebook.com/IndependentTVNews/ Twitter Official: https://twitter.com/Independent24tv Instagram: https://www.instagram.com/independent.television/ G+ Independent Television: https://plus.google.com/u/0/+IndependentTelevision #IndependentTelevision #Bangladesh #Economics #ShareMarket
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/
The Chairman of the Securities and Exchange Commission says the agency failed to investigate credibl
 
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HEADLINE: Madoff scandal forces SEC internal investigation --------------------------------------- CAPTION: The Chairman of the Securities and Exchange Commission says the agency failed to investigate credible claims about money manager Bernard Madoff's alleged Ponzi scheme. (Dec. 17) ---------------------------------------- You can license this story through AP Archive: http://www.aparchive.com/metadata/youtube/872f6e0a5c0f424db565eac38e9b7cbb Find out more about AP Archive: http://www.aparchive.com/HowWeWork
Views: 66 AP Archive
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
Security Exchange Commission (SEC) Infomercial
 
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Video created by: Nathan Edwards Project completed by: Nathan, Dave, Liam and Shane Teacher: Mr. Lambie This was based on real events that happened during The Great Depression. The meaning of this was to inform viewers as to what the SEC stood for and meant. I added the neat effects to make it seem as if it was filmed back in the 30s.
Views: 114 Edwards Nathan
McAfee challenges the US Securities and Exchange Commission to a televised debate
 
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🚀 Become a Patron! (NEW Airdrop Alerts) https://www.patreon.com/snipers 🚀 McAfee has called on Jay Clayton the US Securities Exchange and Commission’s Chairman for a debate on national television and has proposed the challenge in the least polite fashion possible. The SEC recently announced that all ICO's are securities and McAfee is furious. Let's take a look at what's going on and what this means for our regulatory issues. ►Internxt: https://internxt.com/ ►Sign up for Internxt Beta/Airdrops: https://internxt.com/core Got any questions? Feel free to leave them down in the comments below! Also connect with us on any platform you prefer for non-stop action! Video Timestamps: 00:01 - Intro 00:20 - Bitcoin Technical Analysis 01:39 - Article: McAfee challenges the US.... 02:44 - Article: The Chinese Gov.... 03:57 - ETH Technical Analysis 04:47 - Q&A 09:02 - EOS Technical Analysis 12:35 - Coinmarketcap ►CONNECT! TWITTER: https://twitter.com/sniperstube DISCORD: https://discord.gg/HqgQA9D FACEBOOK: https://www.facebook.com/sniperstube INSTAGRAM: https://www.instagram.com/sniperstube/ SNAPCHAT: https://www.snapchat.com/add/sniperstube STEEMIT: https://steemit.com/@snipers PHONE #: (504) 434-0269 ►HERE'S WHAT I USE! Coinbase (Trade Bitcoin): https://www.coinbase.com/join/59982942f2e11e008e04960c Binance (Trade Altcoins): https://www.binance.com/?ref=11668901 Bitmex (Shorting/Leverage Trading Bitcoin): https://www.bitmex.com/register/9CXNWf TradingView (Charting): http://tradingview.go2cloud.org/SH1TG Coinigy (API Charting): https://www.coinigy.com/?r=5f8dd7f0 3Commas (Consecutive Stop Loss/Take Profits/Trading Bot/Copy Trading): https://3commas.io/?c=tc25670 Books & More: https://www.amazon.com/shop/sniperstube?ref=ac_inf_hm_vp ------------------------- ►REFRENCES! McAfee challenges the US Securities and Exchange Commission to a televised debate: https://www.coininsider.com/mcafee-challenges-sec/ McAfee Tweet: https://twitter.com/officialmcafee/status/1004741243400871938?ref_src=twsrc%5Etfw&ref_url=https%3A%2F%2Fwww.coininsider.com%2Fmcafee-challenges-sec%2F THE CHINESE GOVERNMENT CONSIDERS RELAXING THE BAN ON CRYPTOCURRENCY TRADING: http://www.fintechcryptonews.com/the-chinese-government-considers-relaxing-the-ban-on-cryptocurrency-trading/ Disclaimer: The information from Naeem and any other SnipersTube affiliate/member is for informational purposes only. It should not be considered legal or financial advice. You should consult with a financial professional to determine what may be best for your individual needs. I don't make any guarantees or other promises as to any results that may be obtained from using my content/advice. No one should make any investment decision without first consulting his or her own financial adviser and conducting his or her own research and due diligence.
Views: 3950 Naeem Al-Obaidi