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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: 4884 Edspira
The Securities Exchange Act of 1934
 
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http://thebusinessprofessor.com/securities-exchange-act-of-1934/ The Securities Exchange Act of 1934
Views: 2325 Jason Mance Gordon
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: 28 Shmoop
Securities Act of 1933
 
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United States Congress enacted the Securities Act of 1933 (the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, or the '33 Act, Title I of Pub. L. 73-22, 48 Stat. 74, enacted May 27, 1933, codified at 15 U.S.C. § 77a et seq.), in the aftermath of the stock market crash of 1929 and during the ensuing Great Depression. Legislated pursuant to the interstate commerce clause of the Constitution, it requires that any offer or sale of securities using the means and instrumentalities of interstate commerce be registered with the SEC pursuant to the 1933 Act, unless an exemption from registration exists under the law. "Means and instrumentalities of interstate commerce" is extremely broad, and it is virtually impossible to avoid the operation of this statute by attempting to offer or sell a security without using an "instrumentality" of interstate commerce. Any use of a telephone, for example, or the mails, would probably be enough to subject the transaction to the statute. The 1933 Act was the first major federal legislation to regulate the offer and sale of securities. Prior to the Act, regulation of securities was chiefly governed by state laws, commonly referred to as blue sky laws. When Congress enacted the 1933 Act, it left existing state securities laws ("blue sky laws") in place. The '33 Act is based upon a philosophy of disclosure, meaning that the goal of the law is to require issuers to fully disclose all material information that a reasonable shareholder would require in order to make up his or her mind about the potential investment. This is very different from the philosophy of the blue sky laws, which generally impose so-called "merit reviews." Blue sky laws often impose very specific, qualitative requirements on offerings, and if a company does not meet the requirements in that state then it simply will not be allowed to do a registered offering there, no matter how fully its faults are disclosed in the prospectus. Recently, however, NSMIA added a new Section 18 to the '33 Act which preempts blue sky law merit review of certain kinds of offerings. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 9441 Audiopedia
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: 5120 Way Back
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: 28261 FinLit
Debt Payoff, Negotiable instruments, private Banker, securities Exchange Act 1933
 
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Get services link here www.dejourhawk.com Why you need to privatize as a financial institution under religious non stock corporation (private Banker & Secured party creditor).
Views: 7193 Asef Bey
Cabinet passes draft Securities and Exchange Act
 
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The Cabinet has given initial approval to the draft Securities and Exchange Act in a bid to keep the Thai capital market in step with the modern world.
Views: 11 NBT WORLD
Arizona lawmaker wants to amend Securities Exchange Act
 
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Arizona lawmaker wants to amend Securities Exchange Act of 1934. Would allow companies to have 1,000 shareholders before disclosing information
Views: 192 ABC15 Arizona
Securities Act Of 1933
 
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An Easy Overview Of The Securities Act Of 1933
Views: 4830 Christopher Hunt
Criminal Liability Under the Securities Exchange Act of 1934
 
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http://thebusinessprofessor.com/criminal-liability-securities-exchange-act-of-1934/ Criminal Liability Under the Securities Exchange Act of 1934
Views: 290 Jason Mance Gordon
What Was The Purpose Of The Securities Exchange Act Of 1934?
 
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What Was The Purpose Of The Securities Exchange Act Of 1934? KNOW MORE ABOUT What Was The Purpose Of The Securities Exchange Act Of 1934? The organization of the sec 1934 act registration and reporting requirements, integrated securities exchange 1934, also known as or commission (sec) to regulate aftermarket for is legislation passed by united states congress that empowered with contained false misleading statements, 9 liability which 1933 item 17, at 5 6. Securities exchange act of 1934 fraser (st. Html "imx0m" url? Q webcache. What is securities and exchange act of 1934 searchcompliance. Encyclopedia of business, 2nd ed. Gov answers about lawsshtml. Securities exchange act of 1934. What was the purpose of securities exchange act 1934 reference for business. Securities exchange act of 1934 res sec section 4 the (codified in 15 u. Oct 2013 note except as otherwise noted, the links to securities laws below are from statute compilations maintained by office of legislative exchange act 1934 (sea) was created govern transactions on secondary market, after issue, ensuring greater financial transparency and accuracy less fraud or manipulation. Googleusercontent search. The securities exchange act of 1934 establishing the sec. Securities exchange act of 1934 investopedia. L881, enacted june 6, 1934, codified at 15 u. Securities exchange act of 1934 wikipedia. Louis fed) federal securities exchange act of 1934 legal definition the principles full disclosure. The securities exchange act of 1934 is a federal law that regulates the secondary trading such as stocks and bonds 30 mar 2016 (exchange act) these requirements are enforced by sec companies with 22 jul 2017. Erty or any service thereof for the purpose of effecting reporting federal laws are generally administered by securities and exchange commission (sec), established act 1934 (15 u. Securities exchange act of 1934 nyse. What is securities exchange act of 1934? Definition from section 18 the 1934 fordham law. 78d) established the securities and exchange commission (sec), a federal agency responsible for the securities exchange act of 1934 tracyt and alfred buyers and sellers of stocks and bonds may meet for the purpose of trading in those the broad purpose of the securities act of 1933 is to protect the buyer of a the securities exchange act of 1934 supplements the security act in two prin to plug this hole, congress passed the securities exchange act of 1934, which established the securities and exchange commission (sec) to implement the short titlethis act may be cited as the securities exchange act of 1934. Securities exchange act of 1934 sec. Securities and exchange act of 1934 findlaw. A yet because the act did not include a general prohibition or even definition of insider trading, sec so at first in way that was both tentative and overly comprehensive treatise on securities exchange 1934. Is a law governing the secondary trading of securities (stocks, bonds, and debentures) in united state
Views: 11 E Market
SEBI (SECURITIES AND EXCHANGE BOARD OF INDIA)
 
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Preparing for competition ??? watch brief video of SEBI. SOME MORE HELPFUL VIDEOS (MUST WATCH) : PANCHAYATI RAJ AND MUNICIPALITY IN INDIA https://youtu.be/-IbnQkJBH8c :UNIFIED PAYMENT INTERFACE || BHARAT INTERFACE FOR MONEY https://youtu.be/AcK1JpLwS9I : NATIONAL AUTOMATED CLEARING HOUSE (NACH) || NATIONAL FINANCIAL SWITCH (NFS) https://youtu.be/EQmu0ER-sz8 : NATIONAL PAYMENTS CORPORATION OF INDIA https://youtu.be/rksejwre_Q0 : THE INDIA MYANMAR LAND BORDER CROSSING AGREEMENT || TRILATERAL HIGHWAY || KALADAN TRANSPORT PROJECT https://youtu.be/CSCgDWXk9nc : LEMOA, COMCASA AND BECA https://youtu.be/lLdouE_EqdU : QUEEN ELIZABETH APPROVES BREXIT LAW.(ASSENT TO PM THERESA MAY) https://youtu.be/n8PdX9Gy9RY : PRESIDENT OF INDIA & GOVERNOR OF STATES https://youtu.be/qnkctRCEqhE : FINANCE COMMISSION OF INDIA https://youtu.be/BH3La6yFM00 : SHORT TRICK FOR SQUARE ROOT AND CUBE ROOT https://youtu.be/7KeHZZL2T08 : SHANGHAI COOPERATION ORGANISATION https://youtu.be/Js66O3v_sTA : COLLEGIUM SYSTEM https://youtu.be/MrwuNb56lcc : ATTORNEY GENERAL OF INDIA https://youtu.be/xFJt7S3LC9k : WORLD TRADE ORGANIZATION https://youtu.be/xXuYcKCIe5k : OPEC https://youtu.be/BMcjl4hYxJA : PLANNING IN INDIA (FIVE YEAR PLAN ) https://youtu.be/sDAiOFiwYrY : SCHEDULES OF INDIAN CONSTITUTION https://youtu.be/PFxX_BtUzjI : INSURANCE REGULATORY AND DEVELOPMENT AUTHORITY OF INDIA (IRDAI) https://youtu.be/xojTrXb4qTg : NOBEL PRIZE https://youtu.be/QWllevoNX_s : SEBI (SECURITIES AND EXCHANGE BOARD OF INDIA) https://youtu.be/kWOmKgmRGtE : LETS DO CALCULATION EASY https://youtu.be/1e3ZrKtfr9U : EFT, NEFT, RTGS, IMPS? https://youtu.be/FuxSISy919o : NITI AYOG https://youtu.be/GfDH28FAytk : G4 G7 G20 COUNTRIES https://youtu.be/RnmUjgBQzT8 : SAARC AND BIMSTEC https://youtu.be/60hoPSd_KOU : FDI & FII https://youtu.be/6It4mvxmcmo : INDUS WATER TREATY https://youtu.be/KqeI5mqc7ww : RBI AND ITS FUNCTION https://youtu.be/rY6nbTxzLDs : BRICS https://youtu.be/1iKe8bCcw88 : CPEC https://youtu.be/tbjm48jv8rg : ISRO https://youtu.be/cVD9WblyYWs : MTCR https://youtu.be/wq3JxLrvoZM : NPT & NSG https://youtu.be/0QMnJHePZCE : NITI FORUM FOR NORTH EAST. https://youtu.be/V8TQ4lN7k6w : UNITED NATIONS (PART-1) https://youtu.be/NptpOG93IIY : UNITED NATIONS (PART-2) https://youtu.be/5cRrkTyQd4Q : HOW INDIAN RUPEE VALUE IS DETERMINED? https://youtu.be/K0oNbyjdEMc : WORLD BODIES (G4,G7,G20 NATIONS) https://youtu.be/RnmUjgBQzT8
Views: 7287 Deep Talks
Mr. Rajeev Amarasuriya "Law and Order" Interview on proposed Securities Exchange Act.
 
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"Law & Order" presented by Mr. Chanakya Jayadeva – 2nd February 2018 at 9:30 pm on Channel Eye - Interviewee Mr. Rajeev Amarasuriya - Topic "Proposed Securities Exchange Act" Mr. Amarasuriya is a practitioner specialising in the areas of Public and Constitutional Law in the Appellate Courts in Sri Lanka. He is also a Commissioner of the Securities and Exchange Commission of Sri Lanka.
Views: 128 Media News
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
securities and exchange acts of 1933 and 1934
 
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Subscribe today and give the gift of knowledge to yourself or a friend securities and exchange acts of 1933 and 1934 Securities and Exchange Acts of 1933 and 1934. Georgia CTAE Resource Network Curriculum Office, February 2009 To accompany curriculum for the Georgia Peach State Career Pathways February 2009, Philip Ledford & Dr. Frank Flanders. Understanding and Essential Questions. Slideshow... number of slides is : 1 number of slides is : 2 number of slides is : 3 number of slides is : 4 number of slides is : 5 number of slides is : 6 number of slides is : 7 number of slides is : 8 number of slides is : 9 number of slides is : 10 number of slides is : 11 number of slides is : 12 number of slides is : 13 number of slides is : 14 number of slides is : 15 number of slides is : 16 number of slides is : 17 number of slides is : 18 number of slides is : 19 number of slides is : 20 number of slides is : 21 number of slides is : 22 number of slides is : 23 number of slides is : 24 number of slides is : 25
Views: 23 slide king
Securities Contracts & Regulation Act, 1956
 
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Securities Contracts (Regulation) Act, 1956. The Securities Contracts (Regulation) Act, 1956 also known as SCRA is an Act of the Parliament of India enacted to prevent undesirable exchanges in securities and to control the working of the stock exchange in India. It came into force on February 20, 1957.
What are the anti-fraud provisions of the Securities Exchange Act of 1934?
 
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What are the anti-fraud provisions of the Securities Exchange Act of 1934? | Savage, Combs, & Villoch, PLLC | Your Business and Personal Lawyers | Free Case Evaluation | 888-313-0469 | http://savagelaw.us/ | 412 Madison St, Tampa, FL 33602 The anti-fraud provisions of the Exchange Act require that the issuer make complete disclosure of all relevant information related to their stock. This is to make sure that the stock is traded fairly, and the investors have an equal chance of making money in that stock.
Securities law (New syllabus), Revision of Chapter 2 (SEBI Act 1992)
 
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(for lectures in pen drive WhatsApp on 8554883071, or call on 9975171932)
Views: 285 Shubhamm Sukhlecha
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.
Collective Investment Vehicles and the Securities  Exchange Act (Introduction)
 
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An introduction, by Jason Hsieh, to the Securities Exchange Act of 1934 in the context of collective investment vehicles, such as mutual funds and closed-end funds. Editor's note: Some of the diagrams say "Securities and Exchange Act"... when they should say "Securities Exchange Act"...
Views: 29 Law Stuff
Securities Contract (Regulation)Act, 1956 (COM)
 
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Subject : Commerce Paper : Corporate Legal Framework Module : Securities Contract (Regulation)Act, 1956 Content writer : Ms. Parul Chopra
Views: 2716 Vidya-mitra
CA FINAL law - Securities & Exchange Board of India
 
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CA Final Corporate & Other Allied Laws Lecture by Prof.Rajesh Tayal Like us on Facebook on : https://www.facebook.com/TayalInstitutePvtLtd Subcribe us for more videos relating to CA FINAL : https://www.youtube.com/channel/UCs8J0m4_FYpJ5VO4c55gWmg : https://www.youtube.com/user/TayalInstitutepvtltd For more information please call or whats app us on : 09773824714 Write us email on : [email protected] For Online lectures Log on to : www.tayalsirvod.com
Views: 1681 CACSCMA Elearning
Securities Act of 1933
 
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http://thebusinessprofessor.com/securities-act-of-1933/ Securities Act of 1933
Views: 1138 Jason Mance Gordon
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: 524 NYU School of Law
Securities Act of 1933
 
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Video Software we use: https://amzn.to/2KpdCQF Ad-free videos. You can support us by purchasing something through our Amazon-Url, thanks :) The United States Congress enacted the Securities Act of 1933 , in the aftermath of the stock market crash of 1929 and during the ensuing Great Depression.Legislated pursuant to the interstate commerce clause of the Constitution, it requires that any offer or sale of securities using the means and instrumentalities of interstate commerce be registered with the SEC pursuant to the 1933 Act, unless an exemption from registration exists under the law."Means and instrumentalities of interstate commerce" is extremely broad, and it is virtually impossible to avoid the operation of this statute by attempting to offer or sell a security without using an "instrumentality" of interstate commerce.Any use of a telephone, for example, or the mails, would probably be enough to subject the transaction to the statute. ---Image-Copyright-and-Permission--- About the author(s): U.S. Government License: Public domain ---Image-Copyright-and-Permission--- This channel is dedicated to make Wikipedia, one of the biggest knowledge databases in the world available to people with limited vision. Article available under a Creative Commons license Image source in video
Views: 1083 WikiWikiup
CPA Exam REG Securities Regulation Sample
 
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CPA Exam REG Securities Regulation Sample Full lesson includes: Lesson Overview 1933 Act Securities Regulation 1933 Act Registration Requirements 1933 ACT SHELF REGISTRATION REGISTRATION PROCESS REGISTRATION STATEMENT REGISTRATION FORMS SEC EXEMPTIONS FROM REGISTRATION INTRASTATE ISSUES 1933 ACT: REGULATION A 1933 ACT: REGULATION D REG D: RULE 504 EXEMPTION REG D: RULE 506 EXEMPTION 1933 ACT LIABILITIES: SECTION 11 LIABILITY DEFENSES 1933 ACT DEFINITIONS THE SECURITIES EXCHANGE ACT OF 1934 1934 ACT: WHAT SHOULD BE REPORTED? 1934 ACT REPORTING REQUIREMENTS 1934 ACT ANTIFRAUD PROVISIONS SECTION 11 OF 1933 VS. RULE 10B-5 OF 1934 SARBANES-OXLEY ACT OF 2002 THE DODD-FRANK ACT OF 2010 EXEMPTIONS FOR SMALLER AND EMERGING COMPANIES
Views: 179 CPA Adventure Guide
Requirement to Register Securities Under 1934 Act
 
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http://thebusinessprofessor.com/requirement-to-register-securities-under-1934-act/ Requirement to Register Securities Under 1934 Act
Views: 206 Jason Mance Gordon
The SEC's Investment Company Reporting Modernization Rules and Forms: What You Need to Know
 
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The U.S. Securities and Exchange Commission (SEC) recently adopted sweeping new rules and forms to modernize reporting for registered investment companies (funds). The new requirements will dramatically increase the quantity and type of information that funds will provide to the SEC and investors. This webinar examines key components of the new requirements, as well as highlight issues raised by this new reporting regime, and how the new rules and forms may reflect the SEC’s future policy and examination priorities.
Views: 699 Dechert LLP
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: 1821 London View Chambers
Securities & Exchange Board Of India [SEBI ACT 1992] | Section 7, 7 (A) & 8 | Overview | Part 3 D
 
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Advanced Auditing and Professional Ethics: Chartered Accountancy; Securities & Exchange Board Of India [SEBI ACT 1992] | Section 7, 7 (A) & 8 | Overview | Part 3 D; Topic Covered : 1. Meetings of the Board [Section 7] : 00:00:12 - 00:02:50 2. Member not to participate in meeting in certain cases [Section 7 (A)] : 00:02:54 - 00:04:57 3. Vacancies, etc., not to invalidate proceedings of the Board [Section 8] : 00:04:58 - 00:06:12 Video by Edupedia World (www.edupediaworld.com), Free Online Education; Download our App : https://goo.gl/1b6LBg Click here, https://www.youtube.com/watch?v=ctYzDxjTaJc&list=PLJumA3phskPG8HPVY4PNbHHjBMxGLkWFlfor more videos on Advanced Auditing and Professional Ethics; All Rights Reserved.
Views: 298 Edupedia World
Securities & Exchange Board Of India [SEBI ACT 1992] | Removal Of Board Members,Section 6 | Part 3 C
 
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Advanced Auditing and Professional Ethics: Chartered Accountancy; Securities & Exchange Board Of India [SEBI ACT 1992] | Removal Of Board Members,Section 6 | Part 3 C; Topic Covered : 1. Removal of Members of the Board [Section 6] : 00:00:19 - 00:05:43 - CG has the power to remove member/chairman, if: *Adjudicated as insolvent *Declared to be of unsound mind *Convicted of an offence which involves a moral turpitude *Abused his position in office, and his continuance is determined to the public interest (will be given Opportunity of being heard) Video by Edupedia World (www.edupediaworld.com), Free Online Education; Download our App : https://goo.gl/1b6LBg Click here, https://www.youtube.com/watch?v=ctYzDxjTaJc&list=PLJumA3phskPG8HPVY4PNbHHjBMxGLkWFlfor more videos on Advanced Auditing and Professional Ethics; All Rights Reserved.
Views: 328 Edupedia World
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
Business Law II - Professor Sharma (Lecture 9, Chapters 41 & 42 - 04.18.2015)
 
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Business Law II: Professor Sharma Lecture #9, Chapters 41 & 42 Chapter 41: Investor Protection, E-Securities, and Wall Street Reform & Chapter 42: Ethics and Social Responsibility of Business Date: April 18, 2015 Please visit our website at http://raw.rutgers.edu Time Stamps: 0:23 Securities and Exchange Commission (SEC) 3:39 Definition of a Security 4:37 Initial Public Offering: Securities Act of 1933 14:08 Securities Exempt from Registration 15:17 Transactions Exempt from Registration 27:10 Sarbanes-Oxley Act 30:22 Securities Exchange Act of 1934 31:48 Section 10(b) and Rule 10b-5 34:46 Violations of 1934 Act 39:26 Case 41.1: Insider Trading 44:15 Short-Swing Profits 46:43 Section 16(b) 48:07 State Securities Laws 48:47 Law and Ethics 51:58 Moral Theories of Business Ethics 52:48 Summary of Moral Theories 54:50 Social Responsibility of Business 56:48 Theories of Social Responsibililty 57:33 Maximizing Profits 58:59 Case 42.1: U.S. Supreme Court Business Ethics 1:00:40 Moral Minimum 1:05:58 Case 42.2: U.S. Supreme Court Corporate Political Speech and Ethics 1:08:28 Corporate Citizenship Summary of Lecture: The Securities and Exchange Commission is a federal administrative agency empowered to administer federal securities laws. A common security are interests or instruments that is common stock, bond, debenture or warrant. A statutorily defined security is an interest or instrument mentioned in securities acts. Investment contract is a flexible standard for defining a security. The Securities Act of 1933 primarily regulates the issuance of securities by a corporation, limited partnerships, and associations. Nonissuer exemption are security transactions not made by the issuer, and do not have to be registered with the SEC. Intrastate offering exemption permits local businesses to raise capital from local investors without registering with SEC. Private placement exemption permits issuers to raise capital from unlimited number of accredited investors without registering with SEC. The law permits no more than thirty-five nonaccredited investors to purchase securities. Small offering exemption permits sale of securities not exceeding $1 million during twelve-month period. The Sarbanes-Oxley Act establishes rules for separation of investment banking and securities advice functions of securities firms to eliminate conflicts of interest. The Securities Exchange Act of 1934 primarily regulates trading in securities, provides for registration of companies with SEC, filing of periodic reports by companies, and regulation of security exchanges, brokers, and dealers. A statutory insider is a person who is an executive officer, director, or a 10-percent shareholder of an equity security of the company. Ethics are a set of moral principles or values that governs the conduct of an individual or group. Social Responsibility of Business is a theory that requires corporation and businesses to act with awareness of the consequences and impact that their decisions will have on others. Please subscribe to our channel to get the latest updates on the RU Digital Library. To receive additional updates regarding our library please subscribe to our mailing list using the following link: http://rbx.business.rutgers.edu/subscribe.html
Know about The Securities and Exchange Board of India (SEBI) in TAMIL
 
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The Securities and Exchange Board of India (SEBI) is the regulator for the securities market in India. It was established in the year 1988 and given statutory powers on 30 January 1992 through the SEBI Act, 1992. SEBI has to be responsive to 3 groups which constitute the market: The issuer of securities The investor The market intermediaries With the growth in the dealings of stock markets, lot of malpractices also started in stock markets such as price rigging, ‘unofficial premium on new issue, and delay in delivery of shares, violation of rules and regulations of stock exchange and listing requirements. Due to these malpractices the customers started losing confidence and faith in the stock exchange. So government of India decided to set up an agency or regulatory body known as Securities Exchange Board of India (SEBI). It was officially established by The Government of India in the year 1988 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament. SEBI has its Headquarters at the business district of Bandra Kurla Complex in Mumbai, and has Northern, Eastern, Southern and Western Regional Offices in New Delhi, Kolkata, Chennai and Ahmedabad respectively. Controller of Capital Issues was the regulatory authority before SEBI came into existence; it derived authority from the Capital Issues (Control) Act, 1947. Initially SEBI was a non statutory body without any statutory power. However in the year of 1995, the SEBI was given additional statutory power by the Government of India through an amendment to the Securities and Exchange Board of India Act, 1992. In April, 1988 the SEBI was constituted as the regulator of capital markets in India under a resolution of the Government of India. The SEBI is managed by its members, which consists of following: a) The chairman who is nominated by Union Government of India. b) Two members, i.e. Officers from Union Finance Ministry.c) One member from The Reserve Bank of India.d) The remaining 5 members are nominated by Union Government of India, out of them at least 3 shall be whole-time members. The office of SEBI is situated at SEBI Bhavan, Bandra Kurla Complex, Bandra East, Mumbai- 400051, with its regional offices at Kolkata, Delhi, Chennai & Ahmadabad. For further to register as member : http://app.aliceblueonline.com/OpenAccount.aspx?c=CTA Twitter : https://twitter.com/chennaittradin1 Facebook : https://www.facebook.com/chennaitradingacademy/ LinkedIn : https://www.linkedin.com/in/chennai-trading-academy-cta-b0571b165/
Securities & Exchange Board Of India [SEBI ACT 1992] | Section 11 (2)A, (3), (4) | Overview | Part 6
 
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Advanced Auditing and Professional Ethics: Chartered Accountancy; Securities & Exchange Board Of India [SEBI ACT 1992] | Section 11 (2)A, (3), (4) | Overview | Part 6; Briefing : 00:00:26 - 00:00:50 Topic Covered : 1. Board shall have the Power to make Inspection [Section 11 (2) A] : 00:00:52 - 00:03:28 2. Board shall have the following powers as vested in a civil court under the Code of Civil Procedure, 1908 while trying a suit, in the following matters [Section 11 (3)] : 00:03:31 - 00:07:21 3. Board may take any of the following measures for investigation or inquiry, in the interest of investors or market [Section 11 (4)] : 00:07:23 - 00:14:50 Video by Edupedia World (www.edupediaworld.com), Free Online Education; Download our App : https://goo.gl/1b6LBg Click here, https://www.youtube.com/watch?v=ctYzDxjTaJc&list=PLJumA3phskPG8HPVY4PNbHHjBMxGLkWFlfor more videos on Advanced Auditing and Professional Ethics; All Rights Reserved.
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Securities & Exchange Board Of India [SEBI ACT 1992] | History Of Legislation | Objective | Part 2
 
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Advanced Auditing and Professional Ethics: Chartered Accountancy; Securities & Exchange Board Of India [SEBI ACT 1992] | History Of Legislation | Objective & Operation | Short Title, Extent & Commencement Part 2; From Revision to Briefing : 00:00:24 - 00:05:55 Topic Covered : -Background of SEBI & History of the Legislation -Objective & Operation of SEBI -Short Title, Extent & Commencement 1. Background & History of the Legislation : 00:05:55 - 00:12:13 2. Purpose/Objective of the SEBI Act : 00:12:13 - 00:18:06 - Protect the interest of investors in securities, - Promote the development of the securities market - To regulate the securities market, & - For matters connected therewith or incidental thereto 3. Short Title, Extent & Commencement : 00:18:06 - 00:20:30 Video by Edupedia World (www.edupediaworld.com), Free Online Education; Download our App : https://goo.gl/1b6LBg Click here, https://www.youtube.com/watch?v=ctYzDxjTaJc&list=PLJumA3phskPG8HPVY4PNbHHjBMxGLkWFlfor more videos on Advanced Auditing and Professional Ethics; All Rights Reserved.
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Securities & Exchange Board Of India [SEBI ACT 1992] | Powers/Functions Of SEBI,Section 11| Part 4 A
 
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Advanced Auditing and Professional Ethics: Chartered Accountancy; Securities & Exchange Board Of India [SEBI ACT 1992] | Powers/Functions Of SEBI,Section 11| Part 4 A; Topic Covered: 1. Powers & Functions of SEBI [Section 11] :- * Section 11 clause 1 deals with the duties of SEBI (general power/function) (Current topic) : : 00:00:42 - 00:15:41 - Introduction - Measures ~regulating the business in stock exchanges ~registering & regulating the working of brokers, sub- brokers, etc. ~registering & regulating the working of venture capital funds, mutual funds etc ~promoting & regulating self-regulatory organizations * Section 11 clause 2 deals with the specific powers of SEBI : (Next lecture...) Video by Edupedia World (www.edupediaworld.com), Free Online Education; Download our App : https://goo.gl/1b6LBg Click here, https://www.youtube.com/watch?v=ctYzDxjTaJc&list=PLJumA3phskPG8HPVY4PNbHHjBMxGLkWFlfor more videos on Advanced Auditing and Professional Ethics; All Rights Reserved.
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#26,Security exchange board of India (SEBI) (Class 12 business)
 
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class 12 business studies chapter 10.. financial market security exchange board of india mind your own business video 26
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Securities & Exchange Board Of India [SEBI ACT 1992] | Prospectus Issue [Section 11(A)] | Part 7 A
 
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Advanced Auditing and Professional Ethics: Chartered Accountancy; Securities & Exchange Board Of India [SEBI ACT 1992] | Prohibition on Issue of Prospectus [Section 11(A)] | Part 7 A; Briefing : 00:02:24 - 00:03:04 Topic Covered: Prohibition on Issue of Prospectus [Section 11(A)] : 00:03:04 - 00:07:17 -What is a Prospectus? - Board may specify: * Matters relating to issue of capital & transfer of securities *Prohibit any company from issuing prospectus or specify conditions *Specify the conditions subject to which the prospectus may be issued Video by Edupedia World (www.edupediaworld.com), Free Online Education; Download our App : https://goo.gl/1b6LBg Click here, https://www.youtube.com/watch?v=ctYzDxjTaJc&list=PLJumA3phskPG8HPVY4PNbHHjBMxGLkWFlfor more videos on Advanced Auditing and Professional Ethics; All Rights Reserved.
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THE SECURITIES AND EXCHANGE BOARD OF INDIA ACT 199
 
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Satrang Me Vajeer dobara Zinda Ho Sakta Hai, Per Zindagi Me jameer nai.
Who is SEBI ? | What is SEBI ?  | Power and Objectives of SEBI | SEBI Act 1992 |
 
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The Securities and Exchange Board of India(SEBI) is the regulator for the securitiesmarket in India. It was established in the year 1988 and given statutory powers on 30 January 1992 through the SEBI Act, 1992.
Views: 28290 Commerce Guru
SEBI | भारतीय प्रतिभूति और विनिमय बोर्ड | The Securities and Exchange Board of India | SEBI in hindi
 
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in this video we are telling The Securities and Exchange Board of India in hindi MORE VIDEOS FOR SUBSCRIBE : https://www.youtube.com/educationhub more videos : development experience of india , causcs of low industrialization in mp , economic reforms since 1991 industrial and financial sector reforms stock market and banking system , liberalization privatization and globalization , currents trends and challenges in the indian economy , developments planning in india , nations income and accounting systems , infrastructural development and issues , poverty , unemployment , regional imbalances and migration , URBAN ISSUED , URBAN DEVELOPMENTS , (ocial and economic infrastructure ) and housing for low income group ., rural issuee , ruraal developments (social and economics infrastructure)and rural credit , indicator of development , human development & economics developments , co-operative movement in india and m. p. , imortance of agriculture in m.p. and indian economy , factores of indian economic development , issues of direct and indirect subsidy for farm sector and othe social sector . , pubilc distribution ytem : objective , functioning limitations . isues of buffer stock and food security More videos for :- motivation guruji : https://goo.gl/j6uQmx current affairs 2017 : https://goo.gl/6WchP2 Reasoning for competitive exam : https://goo.gl/kee2Ss PHYSICS FOR COMPETITIVE EXAM : https://goo.gl/6VmLBp mppsc mains 2nd paper : https://goo.gl/mK5fxx MPPSC MAINS 3rd paper : https://goo.gl/U38nz3 MPPSC mains 4th paper : https://goo.gl/5BQL5D Trigonometry : https://goo.gl/kFZ2r4 Missing character : https://goo.gl/corxcN Coding Decoding : https://goo.gl/dirgbh mathematics operations : https://goo.gl/RRVY4R Seating Arrangement : https://goo.gl/srp8La Direction reasoning : https://goo.gl/vDt4KR alphabet : https://goo.gl/55YH4T Ranking and Order : https://goo.gl/8PEuA7 series test : https://goo.gl/rphCrG Venn diagram : https://goo.gl/cj36oF Blood relation : https://goo.gl/mTFG6Y clock : https://goo.gl/HCBEi4 word formation : https://goo.gl/ghDWYw number letter symbol : https://goo.gl/7PcKxP Problem On Age :: https://goo.gl/Ja5z9v Alphabate Test : https://goo.gl/9D4zPX #educationhub -~~- #mppsc2018 , #mppsc , #mppsc preparation #mppscprelims mp psc , Madhya Pradesh Public Service Commission ,
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Securities & Exchange Board Of India [SEBI ACT 1992] | Term & Conditions Of Office | Part 3 B
 
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Advanced Auditing and Professional Ethics: Chartered Accountancy; Securities & Exchange Board Of India [SEBI ACT 1992] | Term & Conditions Of Office | Part 3 B; Topic Covered: 1. Term of Office & Condition of Service of Chairman & Members of the Board [Section 5] : 00:00:26 - 00:07:26 - Terms as per rules prescribed under the Act - CG has the right to terminate service of Chairman & other members, by giving 3 months notice -They also have the right to relinquish office, by giving 3 months notice to CG -The Chairman & Whole time members may hold office for a period of three years, till the age of 65 -They can be reciprocated by CG -Part-time member can hold office for maximum 3 years, no age limit Video by Edupedia World (www.edupediaworld.com), Free Online Education; Download our App : https://goo.gl/1b6LBg Click here, https://www.youtube.com/watch?v=ctYzDxjTaJc&list=PLJumA3phskPG8HPVY4PNbHHjBMxGLkWFlfor more videos on Advanced Auditing and Professional Ethics; All Rights Reserved.
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Securities contract (regulation) act, 1956 ll Power of CG/SEBI ll (HINDI REVISION)
 
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Withdrawal of Recognition by CG & Inquiry and action power of CG/SEBI. QUICK AND EASY REVISION
SEC Role in Auditing | Auditing and Attestation | CPA Exam | P 8
 
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Understand the role of the Public Company Accounting Oversight Board and the effects of the Sarbanes–Oxley Act on the CPA profession. Triggered by the bankruptcies and alleged audit failures involving such companies as Enron and WorldCom, the Sarbanes–Oxley Act is considered by many to be the most important legislation affecting the auditing profession since the 1933 and 1934 Securities Acts. The provisions of the Act dramatically changed the relationship between publicly held companies and their audit firms. The Sarbanes–Oxley Act established the Public Company Accounting Oversight Board (PCAOB), appointed and overseen by the SEC. The PCAOB provides oversight for auditors of public companies; establishes auditing, attestation, and quality control standards for public company audits; and performs inspections of audit engagements as well as the quality controls at audit firms performing those audits. As a result of the 2010 Dodd-Frank financial reform legislation, auditors of brokers and dealers registered with the Securities and Exchange Commission are also required to register with the PCAOB, are subject to inspections, and must follow PCAOB auditing and attestation standards. The PCAOB conducts inspections of registered accounting firms to assess their compliance with the rules of the PCAOB and SEC, professional standards, and each firm’s own quality control policies. SEC, Securities and exchange commission, Securities Act of 1933, Securities Exchange act of 1934, Form S-1, Form 8-k, Form 10-k form 10-Q
FA15 Securities Contract Regulation Act, 1956: Allied Law (Old Syll) - By CA Darshan Khare Sir
 
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a. Daily Revision of Competition Act b. Securities Contract Regulation Act, 1956 Concept & History c. SCRA, 1956: Applicability d. SCRA, 1956: Provisions
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