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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: 5934 Edspira
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: 100 Shmoop
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: 2518 Jason Mance Gordon
promissory note, Debt Payoff, Negotiable instruments, securities Exchange Act 1933
 
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Get services link here www.dejourhawk.com contact us: [email protected] Why you need to privatize as a financial institution under religious non stock corporation (private Banker & Secured party creditor).
Views: 11935 Asef Bey
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: 9870 Audiopedia
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: 2795 Vidya-mitra
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: 29886 FinLit
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
 
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Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operations of the industry. In practice, the SEC delegates most of its enforcement and rulemaking authority to FINRA. In fact, all trading firms not regulated by other SROs must register as a member of FINRA. Individuals trading securities must pass exams administered by FINRA to become registered representatives.[11][12] The Investment Management Division oversees registered investment companies, which include mutual funds, as well as registered investment advisors. These entities are subject to extensive regulation under various federals securities laws.[13] The Division of Investment Management administers various federal securities laws, in particular the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include:[14] assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff; responding to no-action requests and requests for exemptive relief; reviewing investment company and investment adviser filings; assisting the Commission in enforcement matters involving investment companies and advisers; and advising the Commission on adapting SEC rules to new circumstances. The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. The SEC generally conducts investigations in private. The SEC's staff may seek voluntary production of documents and testimony, or may seek a formal order of investigation from the SEC, which allows the staff to compel the production of documents and witness testimony. The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.[15] Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the Commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC. This office has played a role in such areas as working with the Financial Accounting Standards Board to develop Generally Accepted Accounting Principles, the Public Company Accounting Oversight Board in developing audit requirements, and the International Accounting Standards Board in advancing the development of International Financial Reporting Standards; The Office of Compliance, Inspections and Examinations, which inspects broker-dealers, stock exchanges, credit rating agencies, registered investment companies, including both closed-end and open-end (mutual funds) investment companies, money funds. and Registered Investment Advisors; The Office of International Affairs, which represents the SEC abroad and which negotiates international enforcement information-sharing agreements, develops the SEC's international regulatory policies in areas such as mutual recognition, and helps develop international regulatory standards through organizations such as the International Organization of Securities Commissions and the Financial Stability Forum; The Office of Investor Education and Advocacy, which helps educate the public about securities markets and warns investors of fraud and stock market scams; The Office of Economic Analysis, which helps the SEC estimate the economic costs and benefits of its various rules and regulations; and The Office of Information Technology, which supports the Commission and staff in information technology, including application development, infrastructure operations. and engineering, user support, IT program management, capital planning, security, and enterprise architecture. The Inspector General. The SEC announced in January 2013 that it had named Carl Hoecker the new inspector general.[16][17] He has a staff of 22. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 5540 Way Back
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: 214 Jason Mance Gordon
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
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: 49 slide king
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: 12611 Deep Talks
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 Act Of 1933
 
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An Easy Overview Of The Securities Act Of 1933
Views: 4987 Christopher Hunt
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.
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.
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: 31 Law Stuff
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
SEBI Act, 1992
 
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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: 317 Jason Mance Gordon
Securities Act of 1933
 
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http://thebusinessprofessor.com/securities-act-of-1933/ Securities Act of 1933
Views: 1290 Jason Mance Gordon
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: 1908 Shubhamm Sukhlecha
Bangladesh Securities and Exchange Commission (BSEC)
 
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The Bangladesh Securities and Exchange Commission (BSEC) was established on 8th June, 1993 under the Securities and Exchange Commission Act, 1993.
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: 1714 CACSCMA Elearning
SEBI: Securities exchange board of India [CS-Executive]
 
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Module-II Capital Markets & Securities Laws.
Views: 654 pranay kumar
Lecture 19 - SEBI Act, 1992 (Part-3) : Securities Appellate Tribunal for SEBI Grade A
 
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Lecture 19 - SEBI Act, 1992 (Part-3) : Securities Appellate Tribunal for SEBI Grade A PPT of Lecture: https://drive.google.com/open?id=1gbw0oOAB6UFdREM6-UImZuXx5rhf3tUZ
Views: 1428 Sunny Gulve
Lecture 31 : Securities Contracts Regulation Act, 1956 (part - 3) for SEBI Grade A
 
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Lecture 31 : Securities Contracts Regulation Act, 1956 (part - 3) for SEBI Grade A PPT of the lecture: https://drive.google.com/open?id=11_Vnu9jN9Bg6GrKmQ9deHoBksSzLairV
Views: 847 Sunny Gulve
Securities & Exchange Board Of India [SEBI ACT 1992] | Fraudulent Trade Practices | Part 4 B
 
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Advanced Auditing and Professional Ethics: Chartered Accountancy; Securities & Exchange Board Of India [SEBI ACT 1992] | Fraudulent Trade Practices | Part 4 B; Topic Covered : 1. Prohibiting Fraudulent and Unfair Trade Practices relating to Securities Market 2. Promoting investors 'education & training of intermediaries' of Securities Markets 3. Prohibiting insider trading associated with Securities Market 4. Exercising powers delegated to it by the Central Government 5. Levying fees or other charges securities 6. Regulating substantial acquisition of shares and take - over of companies 7. Inquiries, inspections and audits of stock exchanges, mutual funds, other persons for carrying out the purpose of this section 8. Conduct Research 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: 707 Edupedia World
Lecture 20 : Securities Contracts Regulation Act, 1956 for SEBI Grade A
 
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Lecture 20 : Securities Contracts Regulation Act, 1956 for SEBI Grade A PPT of the Lecture: https://drive.google.com/open?id=16Y5e1kSnmUt7ddALzHkRzIQnpxE47maS
Views: 1614 Sunny Gulve
CS Executive | Increase coverage of Capital Markets & Securities Law |
 
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Buy my Video Lecture of CS Executive for December 2018: Company Law (old) http://www.amittaldaclasses.com/index.php/coaching/product_detail?id=1&title=COMPANY-LAW-DECEMBER-2018-(OLD-SYLLABUS) CMSL (old): http://www.amittaldaclasses.com/index.php/coaching/product_detail?id=45&title=CAPITAL-MARKETS-&-SECURITIES-LAW-DECEMBER-2018-OLD-SYLLABUS Combo of Company Law & CMSL: (old) http://www.amittaldaclasses.com/index.php/coaching/product_detail?id=46&title=Company-Law---CMSL-Combo Company Law (New Syllabus) http://www.amittaldaclasses.com/index.php/coaching/product_detail?id=50&title=Company-Law-December-2018-(NEW-SYLLABUS) Combo of ECL (Mayur Agrawal) & CL (Amit Talda) http://www.amittaldaclasses.com/index.php/coaching/product_detail?id=51&title=Company-Law---ECL-Combo
Views: 4548 Amit Talda
Securities & Exchange Board Of India [SEBI Act 1992] | Section 11 (B) & (C) | Overview |  Part 8 A
 
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Advanced Auditing and Professional Ethics: Chartered Accountancy; Securities & Exchange Board Of India [SEBI Act 1992] | Power Of SEBI In Different fields [Section 11 (B) & (C)] | Overview | Part 8 A; Revision to Briefing : 00:00:30 - 00:01:44 Topic Covered : 1. Power to Issue Directions [Section 11(B)] : 00:01:44 - 00:04:36 -Be satisfied that: *It is in interest of investors *Prevents detrimental affairs *Secure proper management -Issue of directions to : * Any person referred in Section 12 * Associated with security market 2. Power of SEBI to order Investigation [Section 11(C)] : 00:04:36 - 00:15:33 *Grounds of order & investigation *Duties of Directors, officers & mployess *Power of the Investigating authority *Seizure of documents *Penalties 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: 704 Edupedia World
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/
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
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: 2464 London View Chambers
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: 200 CPA Adventure Guide
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.
Views: 381 Edupedia World
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.
Views: 396 Edupedia World
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: 576 NYU School of Law
5 Most Important Questions Day 14- Security Law - Securities Appellate Tribunal- SEBI Grade A 2018
 
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This video will cover the most important questions of Security Law - Securities Appellate Tribunal for SEBI Grade A 2018. Book Now- https://www.anujjindal.in/ ►►Free Course. Free Video Courses- https://www.anujjindal.in/subscriptio... Free PDFs- https://www.anujjindal.in/subscriptio... Buy RBI Grade B Courses- https://goo.gl/BNxy78 Buy UPSC Courses- https://goo.gl/aGJeJx Buy SSC Courses- https://goo.gl/wcEnV9 UPSC Free Material- https://goo.gl/MQo9r2 RBI Grade B Free Material- https://goo.gl/anh2Sc ►►Watch More... ■ VENN DIAGRAMS- RBI, SBI, IBPS, SSC and other Exams https://goo.gl/NJxA5F ■ Reasoning For RBI Grade B- Blood Relations Part 1 https://goo.gl/rtdHWE ■ Reasoning For RBI Grade B- Blood Relations Part 2 https://goo.gl/kZmxve ►►Follow Social Links. Follow us RBI Grade B Facebook Group- https://goo.gl/GXCjMZ Follow us SBI, IBPS, RBI, SSC Facebook Group- https://goo.gl/BD5ekZ Follow us SBI PO Facebook Group- https://goo.gl/yaVaFA Join TELEGRAM Group of Anuj Jindal- https://t.me/successgovt Join TELEGRAM Channel of Anuj Jindal- https://t.me/anujjindal ►►Contact us -: Contact us for any Query- https://www.anujjindal.in/contact-us/ Contact Us by Email – [email protected] #SAT #SecuritiesLaw #SEBI
Views: 2336 Anuj Jindal
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: 341 Edupedia World
SEBI Regulations - Fundamentals
 
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This is the most fundamental discussion on Capital Market that helps students to smoothly study SEBI Regulations without any doubts.
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.
Views: 1378 Edupedia World
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.
Views: 456 Edupedia World
#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 Our books are now available on Amazon Special Combo - Economics on your tips Micro + Macro http://amzn.in/d/eSxj5Ui Economics on your tips Macroeconomics http://amzn.in/d/2AMX85O Economics on your tips Microeconomics http://amzn.in/d/cZykZVK Official series of playlists UG courses ( bcom, bba, bca, ba, honours) – https://www.youtube.com/playlist?list=PLgC10_Xv-BGirAqOr-hU8e-N_Nz0UpgJ- Class 11 business studies complete course – https://www.youtube.com/playlist?list=PLlg2Ec6t76gBcbJQ_esKn3f_RLiiIwCex Class 12 business studies complete course- https://www.youtube.com/playlist?list=PLlg2Ec6t76gBGqWbudI_m8tfExV9L-znn Economics channel – Economics on your tips https://www.youtube.com/channel/UCUpHeFrAvoqcdGgl_W83x6w Accounts Channel – Accounts Adda https://www.youtube.com/channel/UC8oozlFrNYYprZlYLmdRtgg In order to promote us and help us grow Paytm on – 769001256
Views: 188603 Mind your own business
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
Lecture 28 : History of Securities Law in India for SEBI Grade A
 
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Lecture 28 : History of Securities Law in India for SEBI Grade A PPT of the Lecture: https://drive.google.com/open?id=17R88YnrJHT0cyWqt_vt55kAJlXI5IsSy
Views: 1422 Sunny Gulve

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