• What does The Securities and Exchange Commission do?

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

    published: 14 Feb 2013
  • What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance

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

    published: 17 Nov 2015
  • How The Stock Exchange Works (For Dummies)

    Why are there stocks at all? Everyday in the news we hear about the stock exchange, stocks and money moving around the globe. Still, a lot of people don't have an idea why we have stock markets at all, because the topic is usually very dry. We made a short video about the basics of the stock exchanges. With robots. Robots are kewl! Short videos, explaining things. For example Evolution, the Universe, the Stock Market or controversial topics like Fracking. Because we love science. We would love to interact more with you, our viewers to figure out what topics you want to see. If you have a suggestion for future videos or feedback, drop us a line! :) We're a bunch of Information designers from munich, visit us on facebook or behance to say hi! https://www.facebook.com/Kurzgesagt https:/...

    published: 28 Nov 2013
  • 21. Exchanges, Brokers, Dealers, Clearinghouses

    Financial Markets (2011) (ECON 252) As the starting point for this lecture, Professor Shiller contrasts the view of economics as the theory of the allocation of scarce resources with the view of economics as the study of exchange. After a discussion of the difference between brokers and dealers, he outlines the history of securities exchanges from ancient Rome, to the Amsterdam Stock Exchange and Jonathan's Coffee House in London, until the formation of the New York Stock Exchange. He complements this historic account with an overview of securities exchanges all over the world, covering India, China, Brazil, and Mexico. An example of a limit order book allows him to elaborate on the mechanics of trading at the National Association of Securities Dealers Automatic Quotation System (NASDAQ)....

    published: 05 Apr 2012
  • The Stock Market Explained Simply: Finance and Investing Basics - Animated Film (1957)

    The New York Stock Exchange (sometimes referred to as "the Big Board") provides a means for buyers and sellers to trade shares of stock in companies registered for public trading. The NYSE is open for trading Monday through Friday from 9:30 am -- 4:00 pm ET, with the exception of holidays declared by the Exchange in advance. The NYSE trades in a continuous auction format, where traders can execute stock transactions on behalf of investors. They will gather around the appropriate post where a specialist broker, who is employed by an NYSE member firm (that is, he/she is not an employee of the New York Stock Exchange), acts as an auctioneer in an open outcry auction market environment to bring buyers and sellers together and to manage the actual auction. They do on occasion (approximately 10...

    published: 16 Apr 2014
  • What Is A Securities Exchange?

    Securities and exchange commission (sec) is an independent, federal government agency responsible for protecting investors, maintaining fair orderly functioning of securities markets, facilitating capital formation 12 apr 2017 exchanges that have registered with the sec under section 6 act 1934 u. Read more title i regulation of securities exchangesthis act may be cited as the ''securities exchange 1934''. Securities exchange synonyms, securities pronunciation, translation, english dictionary definition of the was going well and we all sort wondered what it about how applied to us. Securities and exchange commission u. Asx home australian securities exchangecode 78c definitions and application lii exchange offer what is the cambodia exchange? , lift, phnom penh post. Nairobi securities exc...

    published: 03 Jul 2017
  • Securities Act of 1933

    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...

    published: 30 Oct 2014
  • 79. The Difference Between Over the Counter (OTC) and Exchange-Based Markets

    Practice trading with a free demo account: http://bit.ly/IT-forex-demo3 View full article: http://www.informedtrades.com/20797-difference-between-exchange-traded-over-counter-markets.html When trading stocks or futures you normally do so via a centralized exchange such as the New York Stock Exchange or the Chicago Mercantile Exchange. In addition to providing a centralized place where all trades are conducted, exchanges such as these also play the key role of acting as the counterparty to all trades. What this means is that while you may be buying for example 100 shares of Google stock at the same time someone else is selling those shares, you do not buy those shares directly from the seller but instead from the exchange. The fact that the exchange stands on the other side of all trades...

    published: 03 Apr 2008
  • "An Introduction to the Securities Exchange Commission¹s Enforcement Division" by William P. Hicks

    Senior Trial Counsel at the U.S. Securities and Exchange Commission (Southeast Division) presented by The Emory Corporate Governance and Accountability Review (ECGAR) and The Emory Corporate and Business Law Society

    published: 29 Nov 2016
  • What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)

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

    published: 23 Jul 2015
  • BTC News - Hong Kong Cracks Down on Securities Tokens – 7 Crypto Exchanges Targeted

    Hong Kong Cracks Down on Securities Tokens – 7 Crypto Exchanges TargetedThe Hong Kong Securities and Futures Commission has sent letters to seven cryptocurrency exchanges regarding their listings of securities tokens without a license. Most of the exchanges took immediate rectification measures, including removing problematic cryptocurrencies from their platforms. Also read:  Hong Kong Takes Action The Hong Kong Securities and Futures Commission (SFC)on Friday that it “has taken regulatory action against a number of cryptocurrency exchanges and issuers of ICOs.” The agency sent letters to seven cryptocurrency exchanges in Hong Kong or in connection with Hong Kong, warning “them that they should not trade cryptocurrencies which are ‘securities’ as defined in the Securities and Futures Ordin...

    published: 10 Feb 2018
  • U.S. Securities and Exchange Commission

    U.S. Securities and Exchange Commission The US Securities and Exchange Commission SEC is an agency of the United States federal government It holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, the nations stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States2 In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes The SEC was created by Section 4 of the Securities Exchange Act of 1934 now codified as 15 USC§78d ...

    published: 26 Dec 2017
  • 3. Securities and Exchange Commission

    3. Securities and Exchange Commission

    published: 27 Sep 2016
  • What Is The Securities And Exchange Commission?

    Securities and exchange commission (sec) regulates the stock market, protects investors makes u. Securities and exchange commission (sec) is an independent agency of the united states federal government. Securities and exchange commission cnbc explains. Official website about the securities and exchange commission, nigeria. In furtherance of the securities and exchange commission's dedication to ease doing business in commission, also known as sec, is a regulatory body that was established result act 1934. The sec holds primary responsibility home securities and exchange commission. Securities and exchange commission sec investopedia the u. Securities and exchange commission from the sec's objective as stated in its mission statement is to promote develop maintain a securities market th...

    published: 20 Jul 2017
  • U.S. Securities and Exchange Commission

    The U.S.Securities and Exchange Commission is an agency of the United States federal government.It holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States.In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes. ---Image-Copyright-and-Permission--- About the author(s): U.S. Government License: Public domain ---Image-Copyright-and-Permission--- This ...

    published: 16 Sep 2016
  • Types of Securities Part 1- Securities

    The Types of Securities regulated by the TTSEC (Part 1- Securities)

    published: 04 May 2017
  • Let's Talk about The U.S. Securities and Exchange Commission, SEC

    http://www.learntotrade.tv/ The U.S. Securities and Exchange Commission, or, SEC is an agency of the United States federal government. It holds primary responsibility for enforcing the federal securities laws, and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations.

    published: 25 May 2014
  • Stock Market: "What Makes Us Tick" 1952 New York Stock Exchange 12min

    more at http://money.quickfound.net/ "Cartoon promoting the stock market as the engine of America's prosperity." NEW VERSION with improved video & sound: https://www.youtube.com/watch?v=6MOky34M9m8 Public domain film from the Library of Congress Prelinger Archive, slightly cropped to remove uneven edges, with the aspect ratio corrected, and mild video noise reduction applied. The soundtrack was also processed with volume normalization, noise reduction, clipping reduction, and equalization. http://en.wikipedia.org/wiki/Stock_market ...The purpose of a stock exchange is to facilitate the exchange of securities between buyers and sellers, thus providing a marketplace (virtual or real). The exchanges provide real-time trading information on the listed securities, facilitating price discov...

    published: 13 Feb 2012
  • Ethan Stone playing fraudster in PSA for Securities and Exchanges

    published: 15 Apr 2017
  • SEC and CFTC say ICOs ARE A SECURITY!!!!

    Todays meeting with the SEC and CFTC was not entirely good but not entirely bad either. They are for sure going to hammer down on ICOs and they consider ALL ICOs to be securities. Thanks for watching. Tip jar below. BTC 13qF5ovjByDtFyGX1hYLA7uvhXj1BDH2KX LTC LcdKQ9JSAZRuypVtevhbna7hVo8hHf5UoD ICO'S THAT I INVEST IN (REMEMBER ICOS ARE HIGH RISK): https://tokensale.shopin.com/ icoheadstart.com/bounty/2... GET FREE BTC AND OTHER COINS HERE JUST FOR SIGNING UP: qoinpro.com/04d145cbdcb626408... THE BEST WAY TO BITCOIN IS THROUGH MINING!!! GO HERE!! (MEDIUM RISK PAYS EVERYDAY) hashflare.io/r/20DD392B RECOMMENDED CRYPTO EXCHANGES: If you looking to start buying alt coins Binance IS THE BEST altcoin exchange out there. Please join Binance using this link: binance.com/?ref=10263251 ...

    published: 06 Feb 2018
  • Interview Xtrade.io | Solving Liquidity Problem Exchanges! | Game Changer!

    https://xtrade.io/ The relationship is only limited to this video no other work is presented for this company. The purpose of this video is to provide exposure and awareness for this video. It is NOT intended as a solicitation to buy or sell any ico tokens. Information was obtained from the white paper and online sources for accuarcy. Information presented here is not meant as financial advice but as means of educating the viewers about an initial coin offering. It is NOT a recommendation to buy or sell any tokens mentioned in this media. Information should be considered to be as an advertisement for a company's products, features and for educational purposes only. There are no guarantees of any returns or return on investments be it stated implied or explicitly stated ANY INFORM...

    published: 18 Feb 2018
  • Keynote Speakers: Securities and Exchange Commission

    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 cl...

    published: 15 Dec 2017
  • What Are Securities In Stock Market?

    Publicly traded securities are listed on stock exchanges, where issuers can seek security listings and attract investors by ensuring a liquid regulated market 17 may 2017 definition investments that be secondary. Him that he is stocks and bonds were safe and, in fact, securities general not they can be grouped into three categories equity (stocks) debt secu traded on an exchange (new york stock exchange, etc. Googleusercontent search. The term commonly refers to any form of financial instrument, but its legal definition varies by jurisdiction. Asp url? Q webcache. Secredln 1869 ltd, gbp, special purpose vehicle gbp63,177,500 12 per cent. Security (finance) wikipediawhat are securities (in finance)? Thestreet definition. There are securities lists of companies and traded on london stock exc...

    published: 13 Aug 2017
  • The SEC to Save Crypto? Incoming SUPER BULLISH News

    💙 Virtual Currencies: The Oversight Role of the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission set to meet. Witness panel testimonies are super bullish! 🤑 My Favourite Exchange: https://goo.gl/xvvjrt 🤗 KuCoin: https://goo.gl/aC6Z7d 💰 Buy Bitcoin Through Coinbase: https://goo.gl/KNeSvo 🔒 Recommended Wallet - Ledger Nano S: https://goo.gl/ejMrcu 🙃 More of me: ◆ Join the Slack Community!: www.ichatcrypto.com ◆ onG Social: https://ong.social/cryptodaily ◆ Steemit: https://steemit.com/@crypto-daily ◆ Instagram: @crypto_daily ◆ Twitter: https://twitter.com/Crypto_Daily ◆ Facebook: https://www.facebook.com/thecryptodaily/ ⚡ No donations accepted, but if you'd like to support me, please throw this video a like! ⭐ Links! ◆ SEC Testimonies: http://bit....

    published: 06 Feb 2018
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What does The Securities and Exchange Commission do?

What does The Securities and Exchange Commission do?

  • Order:
  • Duration: 2:41
  • Updated: 14 Feb 2013
  • views: 23194
videos
Any questions? The Securities and Exchange Commission is a government entity created to regulate the trading in securities such as stocks and bonds. The "SEC" as it is known was created after the Great Depression to protect the public by regulating the trading in stocks and bonds. The goal is for the average investor, Joe Q, to have access to the same information as the executives who oversee or work for the public companies that are traded on the exchanges. All public companies must file their results with the SEC on a periodic basis, usually each quarter so that the public has access to the same information as the company executives. Also, the SEC makes sure that the "insiders" who work for the companies, do not have an unfair advantage to invest or trade in securities based on "inside" information that is not yet available to the public. So, the SEC is like an investment police force!
https://wn.com/What_Does_The_Securities_And_Exchange_Commission_Do
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance

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

  • Order:
  • Duration: 30:14
  • Updated: 17 Nov 2015
  • views: 3786
videos
Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operations of the industry. In practice, the SEC delegates most of its enforcement and rulemaking authority to FINRA. In fact, all trading firms not regulated by other SROs must register as a member of FINRA. Individuals trading securities must pass exams administered by FINRA to become registered representatives.[11][12] The Investment Management Division oversees registered investment companies, which include mutual funds, as well as registered investment advisors. These entities are subject to extensive regulation under various federals securities laws.[13] The Division of Investment Management administers various federal securities laws, in particular the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include:[14] assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff; responding to no-action requests and requests for exemptive relief; reviewing investment company and investment adviser filings; assisting the Commission in enforcement matters involving investment companies and advisers; and advising the Commission on adapting SEC rules to new circumstances. The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. The SEC generally conducts investigations in private. The SEC's staff may seek voluntary production of documents and testimony, or may seek a formal order of investigation from the SEC, which allows the staff to compel the production of documents and witness testimony. The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.[15] Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the Commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC. This office has played a role in such areas as working with the Financial Accounting Standards Board to develop Generally Accepted Accounting Principles, the Public Company Accounting Oversight Board in developing audit requirements, and the International Accounting Standards Board in advancing the development of International Financial Reporting Standards; The Office of Compliance, Inspections and Examinations, which inspects broker-dealers, stock exchanges, credit rating agencies, registered investment companies, including both closed-end and open-end (mutual funds) investment companies, money funds. and Registered Investment Advisors; The Office of International Affairs, which represents the SEC abroad and which negotiates international enforcement information-sharing agreements, develops the SEC's international regulatory policies in areas such as mutual recognition, and helps develop international regulatory standards through organizations such as the International Organization of Securities Commissions and the Financial Stability Forum; The Office of Investor Education and Advocacy, which helps educate the public about securities markets and warns investors of fraud and stock market scams; The Office of Economic Analysis, which helps the SEC estimate the economic costs and benefits of its various rules and regulations; and The Office of Information Technology, which supports the Commission and staff in information technology, including application development, infrastructure operations. and engineering, user support, IT program management, capital planning, security, and enterprise architecture. The Inspector General. The SEC announced in January 2013 that it had named Carl Hoecker the new inspector general.[16][17] He has a staff of 22. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
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How The Stock Exchange Works (For Dummies)

How The Stock Exchange Works (For Dummies)

  • Order:
  • Duration: 3:34
  • Updated: 28 Nov 2013
  • views: 4379968
videos
Why are there stocks at all? Everyday in the news we hear about the stock exchange, stocks and money moving around the globe. Still, a lot of people don't have an idea why we have stock markets at all, because the topic is usually very dry. We made a short video about the basics of the stock exchanges. With robots. Robots are kewl! Short videos, explaining things. For example Evolution, the Universe, the Stock Market or controversial topics like Fracking. Because we love science. We would love to interact more with you, our viewers to figure out what topics you want to see. If you have a suggestion for future videos or feedback, drop us a line! :) We're a bunch of Information designers from munich, visit us on facebook or behance to say hi! https://www.facebook.com/Kurzgesagt https://www.behance.net/kurzgesagt How the Stock Exchange works Help us caption & translate this video! http://www.youtube.com/timedtext_cs_panel?c=UCsXVk37bltHxD1rDPwtNM8Q&tab=2
https://wn.com/How_The_Stock_Exchange_Works_(For_Dummies)
21. Exchanges, Brokers, Dealers, Clearinghouses

21. Exchanges, Brokers, Dealers, Clearinghouses

  • Order:
  • Duration: 1:09:22
  • Updated: 05 Apr 2012
  • views: 56542
videos
Financial Markets (2011) (ECON 252) As the starting point for this lecture, Professor Shiller contrasts the view of economics as the theory of the allocation of scarce resources with the view of economics as the study of exchange. After a discussion of the difference between brokers and dealers, he outlines the history of securities exchanges from ancient Rome, to the Amsterdam Stock Exchange and Jonathan's Coffee House in London, until the formation of the New York Stock Exchange. He complements this historic account with an overview of securities exchanges all over the world, covering India, China, Brazil, and Mexico. An example of a limit order book allows him to elaborate on the mechanics of trading at the National Association of Securities Dealers Automatic Quotation System (NASDAQ). Subsequently, he turns his attention to the growing importance of program trading and high frequency trading, but also discusses their impact on the stock market crash from October 19, 1987, as well as on the Flash Crash from May 6, 2010. When talking about fairness in financial markets, particularly with regard to the relation between private investors and brokers, he discusses the National Market System (NMS), the Intermarket Trading System (ITS), and consolidated quotation systems. He concludes this lecture with some reflections on the operations of dealers, addressing the role of inside information and the Gambler's Ruin problem. 00:00 - Chapter 1. Exchange as the Key Component of Economic Activity 05:50 - Chapter 2. Brokers vs. Dealers 12:25 - Chapter 3. History of Stock Exchanges around the World 24:28 - Chapter 4. Market Orders, Limit Orders, and Stop Orders 36:15 - Chapter 5. The Growing Importance of Electronic Trading 44:46 - Chapter 6. Instabilities Related to High Frequency Trading 59:14 - Chapter 7. The Frustrations as Trading as a Dealer Complete course materials are available at the Yale Online website: online.yale.edu This course was recorded in Spring 2011.
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The Stock Market Explained Simply: Finance and Investing Basics - Animated Film (1957)

The Stock Market Explained Simply: Finance and Investing Basics - Animated Film (1957)

  • Order:
  • Duration: 10:20
  • Updated: 16 Apr 2014
  • views: 473194
videos
The New York Stock Exchange (sometimes referred to as "the Big Board") provides a means for buyers and sellers to trade shares of stock in companies registered for public trading. The NYSE is open for trading Monday through Friday from 9:30 am -- 4:00 pm ET, with the exception of holidays declared by the Exchange in advance. The NYSE trades in a continuous auction format, where traders can execute stock transactions on behalf of investors. They will gather around the appropriate post where a specialist broker, who is employed by an NYSE member firm (that is, he/she is not an employee of the New York Stock Exchange), acts as an auctioneer in an open outcry auction market environment to bring buyers and sellers together and to manage the actual auction. They do on occasion (approximately 10% of the time) facilitate the trades by committing their own capital and as a matter of course disseminate information to the crowd that helps to bring buyers and sellers together. The auction process moved toward automation in 1995 through the use of wireless hand held computers (HHC). The system enabled traders to receive and execute orders electronically via wireless transmission. On September 25, 1995, NYSE member Michael Einersen, who designed and developed this system, executed 1000 shares of IBM through this HHC ending a 203 year process of paper transactions and ushering in an era of automated trading. As of January 24, 2007, all NYSE stocks can be traded via its electronic hybrid market (except for a small group of very high-priced stocks). Customers can now send orders for immediate electronic execution, or route orders to the floor for trade in the auction market. In the first three months of 2007, in excess of 82% of all order volume was delivered to the floor electronically.[23] NYSE works with US regulators like the SEC and CFTC to coordinate risk management measures in the electronic trading environment through the implementation of mechanisms like circuit breakers and liquidity replenishment points.[24] Until 2005, the right to directly trade shares on the exchange was conferred upon owners of the 1366 "seats". The term comes from the fact that up until the 1870s NYSE members sat in chairs to trade. In 1868, the number of seats was fixed at 533, and this number was increased several times over the years. In 1953, the number of seats was set at 1,366. These seats were a sought-after commodity as they conferred the ability to directly trade stock on the NYSE, and seat holders were commonly referred to as members of the NYSE. The Barnes family is the only known lineage to have five generations of NYSE members: Winthrop H. Barnes (admitted 1894), Richard W.P. Barnes (admitted 1926), Richard S. Barnes (admitted 1951), Robert H. Barnes (admitted 1972), Derek J. Barnes (admitted 2003). Seat prices varied widely over the years, generally falling during recessions and rising during economic expansions. The most expensive inflation-adjusted seat was sold in 1929 for $625,000, which, today, would be over six million dollars. In recent times, seats have sold for as high as $4 million in the late 1990s and as low as $1 million in 2001. In 2005, seat prices shot up to $3.25 million as the exchange entered into an agreement to merge with Archipelago and become a for-profit, publicly traded company. Seat owners received $500,000 in cash per seat and 77,000 shares of the newly formed corporation. The NYSE now sells one-year licenses to trade directly on the exchange. Licences for floor trading are available for $40,000 and a licence for bond trading is available for as little as $1,000 as of 2010.[25] Neither are resell-able, but may be transferable in during the change of ownership of a cooperation holding a trading licence. On February 15, 2011 NYSE and Deutsche Börse announced their merger to form a new company, as yet unnamed, wherein Deutsche Börse shareholders will have 60% ownership of the new entity, and NYSE Euronext shareholders will have 40%. On February 1, 2012, the European Commission blocked the merger of NYSE with Deutsche Börse, after commissioner Joaquin Almunia stated that the merger "would have led to a near-monopoly in European financial derivatives worldwide".[38] Instead, Deutsche Börse and NYSE will have to sell either their Eurex derivatives or LIFFE shares in order to not create a monopoly. On February 2, 2012, NYSE Euronext and Deutsche Börse agreed to scrap the merger.[39] In April 2011, IntercontinentalExchange (ICE), an American futures exchange, and NASDAQ OMX Group had together made an unsolicited proposal to buy NYSE Euronext for approximately US$11 billion, a deal in which NASDAQ would have taken control of the stock exchanges.[40] NYSE Euronext rejected this offer two times, but it was finally terminated after the United States Department of Justice indicated their intention to block the deal due to antitrust concerns. http://en.wikipedia.org/wiki/New_York_Stock_Exchange
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What Is A Securities Exchange?

What Is A Securities Exchange?

  • Order:
  • Duration: 1:03
  • Updated: 03 Jul 2017
  • views: 16
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Securities and exchange commission (sec) is an independent, federal government agency responsible for protecting investors, maintaining fair orderly functioning of securities markets, facilitating capital formation 12 apr 2017 exchanges that have registered with the sec under section 6 act 1934 u. Read more title i regulation of securities exchangesthis act may be cited as the ''securities exchange 1934''. Securities exchange synonyms, securities pronunciation, translation, english dictionary definition of the was going well and we all sort wondered what it about how applied to us. Securities and exchange commission u. Asx home australian securities exchangecode 78c definitions and application lii exchange offer what is the cambodia exchange? , lift, phnom penh post. Nairobi securities exchange nse kenyacse. Securities exchange definition of securities by the free what is exchange? Definition and meaning investorwords. Govmore search options about a stock exchange or bourse is an where brokers and traders can buy sell stocks (also called shares), bonds, other securities australian ltd, asx limited (asx), public company (asx asx) that operates australia's primary exchange, the commission (sec) u. Was this helpful? Yes no 10 people the u. Government agency that oversees securities transactions, activities of financial professionals an depository investor info listed get about us contact the african exchange association (asea) conference. Bahamas international securities exchange home bisx. Securities and exchange commission sec investopedianational securities exchangesstock wikipediawhat is (sec)? Definition act of 1934 the new york stock. Recognized as a stock exchange in 2004, the cse began operations 2003 to 1 mar 2016 bisx is registered 'securities exchange' accordance with provisions of securities industry act, 2011 and find information for australian including quotes, market data, share prices, tools resources well investment term member when used respect national means (i) any natural person permitted effect transactions on floor loan notes (unless or carry substantially same rights other bidder issue conversion subscription into 9 may 2012 boom cambodia (csx) after its first ever listed initial public offering april, young cambodians from What exchange? Trop x. June 6, 1934 the nairobi securities exchange, leading exchange in east africa. Invest together with us csx cambodia securities exchange khmernews 26 feb 2016 press release on signing of the memorandum gms exchanges more canadian exchange, or cse, is operated by cnsx markets inc. Exchange wikipedia [pdf] a url? Q trop x sites default files documents page 2013 04 what. What is a securities exchange? Trop x. Put simply, a securities exchange is company that creates the opportunity for potential buyers and sellers of security to come together trading define.
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Securities Act of 1933

Securities Act of 1933

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  • Duration: 9:49
  • Updated: 30 Oct 2014
  • views: 7440
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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
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79. The Difference Between Over the Counter (OTC) and Exchange-Based Markets

79. The Difference Between Over the Counter (OTC) and Exchange-Based Markets

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  • Duration: 5:15
  • Updated: 03 Apr 2008
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Practice trading with a free demo account: http://bit.ly/IT-forex-demo3 View full article: http://www.informedtrades.com/20797-difference-between-exchange-traded-over-counter-markets.html When trading stocks or futures you normally do so via a centralized exchange such as the New York Stock Exchange or the Chicago Mercantile Exchange. In addition to providing a centralized place where all trades are conducted, exchanges such as these also play the key role of acting as the counterparty to all trades. What this means is that while you may be buying for example 100 shares of Google stock at the same time someone else is selling those shares, you do not buy those shares directly from the seller but instead from the exchange. The fact that the exchange stands on the other side of all trades in exchange traded markets is one of their key advantages as this removes counterparty risk, or the chance that the person who you are trading with will default on their obligations relating to the trade. A second key advantage of exchange traded markets is that as all trades flow through one central place, the price that is quoted for a particular instrument is always the same regardless of the size or sophistication of the person or entity making the trade. This in theory should create a more level playing field which can be an advantage to the smaller and less sophisticated trader. Lastly, because all firms that offer exchange traded products must be members and register with the exchange, there is greater regulatory oversight which can make exchange traded markets a much safer place for individuals to trade. The downside that is often cited about exchange traded markets is cost. As the firms who offer exchange traded products must meet high regulatory requirements to do so, this makes it more costly for them to offer these products, a cost that is inevitably passed along to the end user. Secondly, as all trades in exchange traded products must flow through the exchange this gives these for profit entities immense power when setting things such as exchange fees which can also increase transaction costs for the end user. Unlike the stock market and the futures market which trade on centralized exchanges, the spot forex market and many debt markets trade in what's known as the over the counter market. What this means is that there is no centralized place where trades are made, instead the market is made up of all the participants in the market trading among themselves. The biggest advantage to over the counter markets is that because there is no centralized exchange and little regulation, you have heavy competition between different providers to attract the most traders and trading volume to their firm. This being the case transaction costs are normally lower in over the counter markets when compared to similar products that trade on an exchange. As there is no centralized exchange the firms that make prices in the instrument that is trading over the counter can make whatever price they want, and the quality of execution varies from firm to firm for the same instrument. While this is less of a problem in liquid markets such as FX where there are multiple price reference sources, it can be a problem in less highly traded instruments. While the lack of regulation can be seen as an advantage in the above sense it can also be seen as a disadvantage, as the low barriers to entry and lack of heavy oversight also make it easier for firms offering trading to operate in a dishonest or fraudulent way. Lastly, as there is no centralized exchange the firm that you trade with when you trade in an over the counter market like forex is the counterparty to your trade, so if something happens to that firm you are in danger of loosing not only the trades you have with that firm but also your account balance. It is for these reasons that there is so much focus among forex traders as to which firm to trade with, with special attention being paid to the financial stability of the firm and the execution that they provide. As we proceed through this forex trading course we will continue to gain a better understanding of the structure of the market and traders should be well prepared after going through those lessons to make an informed decision for themselves on this issue.
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"An Introduction to the Securities Exchange Commission¹s Enforcement Division" by William P. Hicks

"An Introduction to the Securities Exchange Commission¹s Enforcement Division" by William P. Hicks

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  • Duration: 50:05
  • Updated: 29 Nov 2016
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Senior Trial Counsel at the U.S. Securities and Exchange Commission (Southeast Division) presented by The Emory Corporate Governance and Accountability Review (ECGAR) and The Emory Corporate and Business Law Society
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What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)

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

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  • Duration: 34:33
  • Updated: 23 Jul 2015
  • views: 1529
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Prior to the enactment of the federal securities laws and the creation of the SEC, there existed so-called blue sky laws. They were enacted and enforced at the state level, and regulated the offering and sale of securities to protect the public from fraud. Though the specific provisions of these laws varied among states, they all required the registration of all securities offerings and sales, as well as of every U.S. stockbroker and brokerage firm.[4] However, these blue sky laws were generally found to be ineffective. For example, the Investment Bankers Association told its members as early as 1915 that they could "ignore" blue sky laws by making securities offerings across state lines through the mail.[5] After holding hearings on abuses on interstate frauds (commonly known as the Pecora Commission), Congress passed the Securities Act of 1933 (15 U.S.C. § 77a), which regulates interstate sales of securities (original issues) at the federal level. The subsequent Securities Exchange Act of 1934 (15 U.S.C. § 78d) regulates sales of securities in the secondary market. Section 4 of the 1934 act created the U.S. Securities and Exchange Commission to enforce the federal securities laws; both laws are considered parts of Franklin D. Roosevelt's New Deal raft of legislation. The Securities Act of 1933 is also known as the "Truth in Securities Act" and the "Federal Securities Act”, or just the "1933 Act." Its goal was to increase public trust in the capital markets by requiring uniform disclosure of information about public securities offerings. The primary drafters of 1933 Act were Huston Thompson, a former Federal Trade Commission (FTC) chairman, and Walter Miller and Ollie Butler, two attorneys in the Commerce Department's Foreign Service Division, with input from Supreme Court Justice Louis Brandeis. For the first year of the law's enactment, the enforcement of the statute rested with the Federal Trade Commission, but this power was transferred to the SEC following its creation in 1934. (Interestingly, the first, rejected draft of the Securities Act written by Samuel Untermyer vested these powers in the U.S. Post Office, because Untermyer believed that only by vesting enforcement powers with the postal service could the constitutionality of the act be assured.[5]) The law requires that issuing companies register distributions of securities with the SEC prior to interstate sales of these securities, so that investors may have access to basic financial information about issuing companies and risks involved in investing in the securities in question. Since 1994, most registration statements (and associated materials) filed with the SEC can be accessed via the SEC’s online system, EDGAR.[6] The Securities Exchange Act of 1934 is also known as "the Exchange Act" or "the 1934 Act". This act regulates secondary trading between individuals and companies which are often unrelated to the original issuers of securities. Entities under the SEC’s authority include securities exchanges with physical trading floors such as the New York Stock Exchange (NYSE), self-regulatory organizations (SROs) such as the National Association of Securities Dealers (NASD), the Municipal Securities Rulemaking Board (MSRB), online trading platforms such as the NASDAQ Stock Market (NASDAQ) and alternative trading systems (ATSs), and any other persons (e.g., securities brokers) engaged in transactions for the accounts of others.[7] President Roosevelt appointed Joseph P. Kennedy, Sr., father of President John F. Kennedy, to serve as the first Chairman of the SEC, along with James M. Landis (one of the architects of the 1934 Act and other New Deal legislation) and Ferdinand Pecora (Chief Counsel to the United States Senate Committee on Banking and Currency during its investigation of Wall Street banking and stock brokerage practices). Other prominent SEC commissioners and chairmen include William O. Douglas (who went on to be a U.S. Supreme Court justice), Jerome Frank (one of the leaders of the legal realism movement), and William J. Casey (who later headed the Central Intelligence Agency under President Ronald Reagan). https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
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BTC News - Hong Kong Cracks Down on Securities Tokens – 7 Crypto Exchanges Targeted

BTC News - Hong Kong Cracks Down on Securities Tokens – 7 Crypto Exchanges Targeted

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  • Duration: 4:09
  • Updated: 10 Feb 2018
  • views: 1
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Hong Kong Cracks Down on Securities Tokens – 7 Crypto Exchanges TargetedThe Hong Kong Securities and Futures Commission has sent letters to seven cryptocurrency exchanges regarding their listings of securities tokens without a license. Most of the exchanges took immediate rectification measures, including removing problematic cryptocurrencies from their platforms. Also read:  Hong Kong Takes Action The Hong Kong Securities and Futures Commission (SFC)on Friday that it “has taken regulatory action against a number of cryptocurrency exchanges and issuers of ICOs.” The agency sent letters to seven cryptocurrency exchanges in Hong Kong or in connection with Hong Kong, warning “them that they should not trade cryptocurrencies which are ‘securities’ as defined in the Securities and Futures Ordinance (SFO) without a licence.” This regulatory action follows the FSC’s  last September that digital tokens may be considered securities as defined by the SFO, “and subject to the securities laws of Hong Kong.” The Commission revealed that after receiving its letters:Most of these cryptocurrency exchanges either confirmed that they did not provide trading services for such cryptocurrencies or took immediate rectification measures, including removing relevant cryptocurrencies from their platforms.In addition, the FSC stated that it has also written to seven initial coin offering (ICO) issuers. “Most of them confirmed compliance with the SFC’s regulatory regime or immediately ceased to offer tokens to Hong Kong investors,” the agency confirmed, adding that it will “continue to closely monitor ICOs, and will not tolerate any violations of the securities laws of Hong Kong.” Furthermore, the Commission said it “may take further action where appropriate,” against any crypto exchanges which disregard the SFO provisions as well as repeat offenders. Warnings and Complaints The SFC has warned investors of the risks associated with cryptocurrency and ICO investing several times. Following a warning in September, the agency issued a  in December cautioning investors of the risks associated with bitcoin futures contracts and other crypto investments. In Friday’s announcement, the Commission noted that it has received complaints from investors about not being able to withdraw fiat currencies or cryptocurrencies from their accounts at crypto exchanges. “Some complainants claimed that cryptocurrency exchanges had misappropriated their assets or manipulated the market, or that technical breakdowns of the exchanges’ platforms caused them significant losses,” the agency detailed. “Several complaints against ICO issuers alleged unlicensed or fraudulent activities.” The CEO of the FSC, Ashley Alder, commented:We will continue to police the market and enforce when necessary…But we are also urging market professionals to do proper gatekeeping to prevent fraud or dubious fundraising and to assist us in ensuring compliance with the law.Earlier this week, the Chinese authorities decided Hong Kong Cracks Down on Securities Tokens – 7 Crypto Exchanges Targeted BTC News is the world's premier 24/7 news feed covering everything bitcoin-related. ‎About Bitcoin News, How to Calculate Bitcoin ... · ‎Bitcoin for Beginners ‎Op-Ed
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U.S. Securities and Exchange Commission

U.S. Securities and Exchange Commission

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  • Duration: 10:21
  • Updated: 26 Dec 2017
  • views: 6
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U.S. Securities and Exchange Commission The US Securities and Exchange Commission SEC is an agency of the United States federal government It holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, the nations stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States2 In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes The SEC was created by Section 4 of the Securities Exchange Act of 1934 now codified as 15 USC§78d and commonly referred to as the Exchange Act or the 1934 Act Contents 1 Overview 2 History 3 Organizational structure 31 Commission members 32 Divisions 4 SEC communications 41 Comment letters 42 No-action letters 5 Freedom of Information Act processing performance 6 Operations 61 List of major SEC enforcement a U.S. Securities and Exchange Commission Click for more; https://www.turkaramamotoru.com/en/us-securities-and-exchange-commission-2759.html There are excerpts from wikipedia on this article and video
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3. Securities and Exchange Commission

3. Securities and Exchange Commission

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  • Duration: 0:32
  • Updated: 27 Sep 2016
  • views: 9
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What Is The Securities And Exchange Commission?

What Is The Securities And Exchange Commission?

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  • Duration: 0:47
  • Updated: 20 Jul 2017
  • views: 39
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Securities and exchange commission (sec) regulates the stock market, protects investors makes u. Securities and exchange commission (sec) is an independent agency of the united states federal government. Securities and exchange commission cnbc explains. Official website about the securities and exchange commission, nigeria. In furtherance of the securities and exchange commission's dedication to ease doing business in commission, also known as sec, is a regulatory body that was established result act 1934. The sec holds primary responsibility home securities and exchange commission. Securities and exchange commission sec investopedia the u. Securities and exchange commission from the sec's objective as stated in its mission statement is to promote develop maintain a securities market that fair, efficient, orderly, transparent oversees exchanges, brokers dealers, investment advisors, mutual funds an effort. So how does it work and what power 25 nov 2016 the u. Government agency that oversees securities transactions, activities of financial professionals and mutual fund trading to prevent fraud intentional deception. Securities and exchange commission (sec) is an independent, federal government agency responsible for protecting investors, maintaining fair orderly functioning of securities markets, facilitating capital formation the a u. Ssecurities and exchange commission the new york timessecurities. Get all the welcome to official website of securities & exchange commission pakistan (secp)! read information about laws, licensing, enforcement and islamic sec received cybersecurity public private cooperation award in recognition sec's outstanding achievement raising organizational 26 apr 2012 united states or is watchdog wall street. Market transparent news about the u. The sec consists of five commissioners who serve staggered year terms 10 jun 2013 the mission u. The sec and how it affects the u. Securities and exchange commission sec investopedia. Scommentary and archival information about the u. Securities and exchange commission thailand. What is securities and exchange commission (sec)? Definition sec. Securities and exchange commission facts & summary securities of pakistan (secp). Gov securities and exchange commission (philippines) wikipediasecurities (sec) definition & example what is (sec)? Definition commission, nigeria. Securities and exchange commission is to protect achieve this, the sec requires public companies disclose files fraud charges in bitcoin office space investment schemes june 30, 2017; Sec information technology company former securities agency of government philippines responsible for regulating industry u. Founded definition of securities and exchange commission (sec) us federal agency established in 1934 to help protect investors by enforcing related laws, the official website nigeria (sec), is apex regulatory institution nigerian capital market supervised ministry find out more about history commission, including videos, interesting articles, pictures, historical features.
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U.S. Securities and Exchange Commission

U.S. Securities and Exchange Commission

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  • Duration: 28:45
  • Updated: 16 Sep 2016
  • views: 36
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The U.S.Securities and Exchange Commission is an agency of the United States federal government.It holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States.In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes. ---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
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Types of Securities Part 1- Securities

Types of Securities Part 1- Securities

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  • Duration: 3:09
  • Updated: 04 May 2017
  • views: 124
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The Types of Securities regulated by the TTSEC (Part 1- Securities)
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Let's Talk about The U.S. Securities and Exchange Commission, SEC

Let's Talk about The U.S. Securities and Exchange Commission, SEC

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  • Duration: 0:48
  • Updated: 25 May 2014
  • views: 181
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http://www.learntotrade.tv/ The U.S. Securities and Exchange Commission, or, SEC is an agency of the United States federal government. It holds primary responsibility for enforcing the federal securities laws, and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations.
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Stock Market: "What Makes Us Tick" 1952 New York Stock Exchange 12min

Stock Market: "What Makes Us Tick" 1952 New York Stock Exchange 12min

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  • Duration: 11:36
  • Updated: 13 Feb 2012
  • views: 29856
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more at http://money.quickfound.net/ "Cartoon promoting the stock market as the engine of America's prosperity." NEW VERSION with improved video & sound: https://www.youtube.com/watch?v=6MOky34M9m8 Public domain film from the Library of Congress Prelinger Archive, slightly cropped to remove uneven edges, with the aspect ratio corrected, and mild video noise reduction applied. The soundtrack was also processed with volume normalization, noise reduction, clipping reduction, and equalization. http://en.wikipedia.org/wiki/Stock_market ...The purpose of a stock exchange is to facilitate the exchange of securities between buyers and sellers, thus providing a marketplace (virtual or real). The exchanges provide real-time trading information on the listed securities, facilitating price discovery. The New York Stock Exchange is a physical exchange, also referred to as a listed exchange -- only stocks listed with the exchange may be traded. Orders enter by way of exchange members and flow down to a floor broker, who goes to the floor trading post specialist for that stock to trade the order. The specialist's job is to match buy and sell orders using open outcry. If a spread exists, no trade immediately takes place—in this case the specialist should use his/her own resources (money or stock) to close the difference after his/her judged time. Once a trade has been made the details are reported on the "tape" and sent back to the brokerage firm, which then notifies the investor who placed the order. Although there is a significant amount of human contact in this process, computers play an important role, especially for so-called "program trading". The NASDAQ is a virtual listed exchange, where all of the trading is done over a computer network. The process is similar to the New York Stock Exchange. However, buyers and sellers are electronically matched. One or more NASDAQ market makers will always provide a bid and ask price at which they will always purchase or sell 'their' stock. The Paris Bourse, now part of Euronext, is an order-driven, electronic stock exchange. It was automated in the late 1980s. Prior to the 1980s, it consisted of an open outcry exchange. Stockbrokers met on the trading floor or the Palais Brongniart. In 1986, the CATS trading system was introduced, and the order matching process was fully automated. From time to time, active trading (especially in large blocks of securities) have moved away from the 'active' exchanges. Securities firms, led by UBS AG, Goldman Sachs Group Inc. and Credit Suisse Group, already steer 12 percent of U.S. security trades away from the exchanges to their internal systems. That share probably will increase to 18 percent by 2010 as more investment banks bypass the NYSE and NASDAQ and pair buyers and sellers of securities themselves, according to data compiled by Boston-based Aite Group LLC, a brokerage-industry consultant. Now that computers have eliminated the need for trading floors like the Big Board's, the balance of power in equity markets is shifting. By bringing more orders in-house, where clients can move big blocks of stock anonymously, brokers pay the exchanges less in fees and capture a bigger share of the $11 billion a year that institutional investors pay in trading commissions... In 12th century France the courratiers de change were concerned with managing and regulating the debts of agricultural communities on behalf of the banks. Because these men also traded with debts, they could be called the first brokers. A common misbelief is that in late 13th century Bruges commodity traders gathered inside the house of a man called Van der Beurze, and in 1309 they became the "Brugse Beurse", institutionalizing what had been, until then, an informal meeting, but actually, the family Van der Beurze had a building in Antwerp where those gatherings occurred; the Van der Beurze had Antwerp, as most of the merchants of that period, as their primary place for trading. The idea quickly spread... In the middle of the 13th century, Venetian bankers began to trade in government securities. In 1351 the Venetian government outlawed spreading rumors intended to lower the price of government funds. Bankers in Pisa, Verona, Genoa and Florence also began trading in government securities during the 14th century. This was only possible because these were independent city states not ruled by a duke but a council of influential citizens. Italian companies were also the first to issue shares. Companies in England and the Low Countries followed in the 16th century. The Dutch East India Company (founded in 1602) was the first joint-stock company to get a fixed capital stock and as a result, continuous trade in company stock emerged on the Amsterdam Exchange. Soon thereafter, a lively trade in various derivatives, among which options and repos, emerged on the Amsterdam market. Dutch traders also pioneered short selling...
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Ethan Stone playing fraudster in PSA for Securities and Exchanges

Ethan Stone playing fraudster in PSA for Securities and Exchanges

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  • Updated: 15 Apr 2017
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SEC and CFTC say ICOs ARE A SECURITY!!!!

SEC and CFTC say ICOs ARE A SECURITY!!!!

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  • Duration: 18:25
  • Updated: 06 Feb 2018
  • views: 1159
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Todays meeting with the SEC and CFTC was not entirely good but not entirely bad either. They are for sure going to hammer down on ICOs and they consider ALL ICOs to be securities. Thanks for watching. Tip jar below. BTC 13qF5ovjByDtFyGX1hYLA7uvhXj1BDH2KX LTC LcdKQ9JSAZRuypVtevhbna7hVo8hHf5UoD ICO'S THAT I INVEST IN (REMEMBER ICOS ARE HIGH RISK): https://tokensale.shopin.com/ icoheadstart.com/bounty/2... GET FREE BTC AND OTHER COINS HERE JUST FOR SIGNING UP: qoinpro.com/04d145cbdcb626408... THE BEST WAY TO BITCOIN IS THROUGH MINING!!! GO HERE!! (MEDIUM RISK PAYS EVERYDAY) hashflare.io/r/20DD392B RECOMMENDED CRYPTO EXCHANGES: If you looking to start buying alt coins Binance IS THE BEST altcoin exchange out there. Please join Binance using this link: binance.com/?ref=10263251 Kucoin exchange is the fastest up and comer and has coins exclusive to it you cant find anywhere else! kucoin.com/#/?r=28ucr NEW KID ON THE BLOCK THAT UTILIZES ATOMIC SWAPS altcoin.io?kid=KPHCS BUY A NANO LEDGER S HARDWARE WALLET ledgerwallet.com/r/49c8 CONNECT WITH ME: Add me on Telegram: @mr_kristof Add me on Snapchat: mr_kristof Find me on Instagram: mr_kristof Add me on Twitter: mr_kristof007 Add me on Xbox Live: VoxiKnight Find me on DTube: d.tube/#!/c/cryptokristof Read my blog on Steemit: steemit.com/@cryptokristof Join the Voxdis ICO discussion telegram here: https://t.me/joinchat/G6sAfEfnvpgUUSaw1xB4HA DISCLAIMER: THIS IS NOT FINANCIAL ADVICE AND I AM NOT A FINANCIAL ADVISER. AND THESE ARE SIMPLY MY OPINIONS
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Interview Xtrade.io | Solving Liquidity Problem Exchanges! | Game Changer!

Interview Xtrade.io | Solving Liquidity Problem Exchanges! | Game Changer!

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  • Duration: 31:34
  • Updated: 18 Feb 2018
  • views: 114
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https://xtrade.io/ The relationship is only limited to this video no other work is presented for this company. The purpose of this video is to provide exposure and awareness for this video. It is NOT intended as a solicitation to buy or sell any ico tokens. Information was obtained from the white paper and online sources for accuarcy. Information presented here is not meant as financial advice but as means of educating the viewers about an initial coin offering. It is NOT a recommendation to buy or sell any tokens mentioned in this media. Information should be considered to be as an advertisement for a company's products, features and for educational purposes only. There are no guarantees of any returns or return on investments be it stated implied or explicitly stated ANY INFORMATION CONTAINED HEREIN IS A PERSONAL OPINION AND NOT FINANCIAL ADVICE. ANY INFORMATION CONTAINED HEREIN IS PROVIDED FOR INFORMATIONAL AND EDUCATIONAL PURPOSES ONLY AND IT IS NOT AN OFFER OR SOLICITATION TO BUY, HOLD, OR SELL ANY SECURITY. CRYPTOBUD MEDIA LLC IS NOT REGISTERED AS AN INVESTMENT ADVISER WITH ANY FEDERAL OR STATE REGULATORY AGENCY. CRYPTOBUD MEDIA LLC SHOULD NOT BE RELIED UPON AS A SUBSTITUTE FOR EXTENSIVE INDEPENDENT MARKET RESEARCH BEFORE MAKING YOUR ACTUAL INVESTMENT OR TRADING DECISIONS. CRYPTOBUD MEDIA LLC WILL NOT ACCEPT LIABILITY FOR ANY LOSS OR DAMAGE, INCLUDING WITHOUT LIMITATION ANY LOSS OF PROFIT, WHICH MAY ARISE DIRECTLY OR INDIRECTLY FROM USE OF OR RELIANCE ON THE INFORMATION CONTAINED HEREIN. THE ICOS DISCUSSED HEREIN HAVE NOT BEEN REVIEWED BY THE SECURITIES AND EXCHANGE COMMISSION OR ANY OTHER FEDERAL OR STATE SECURITIES REGULATORY AUTHORITY AND MAY CONSTITUTE SECURITIES PURSUANT TO FEDERAL AND STATE SECURITIES LAWS AND MAY NOT BE APPROPRIATE FOR, OR OFFERED TO, INVESTORS RESIDING IN THE UNITED STATES. INVESTMENT IN ICOS INVOLVES A HIGH DEGREE OF RISK AND SHOULD BE CONSIDERED ONLY BY PERSONS WHO CAN AFFORD TO SUSTAIN A LOSS OF THEIR ENTIRE INVESTMENT. THE SECURITIES AND EXCHANGE COMMISSION HAS WARNED INVESTORS RESIDING IN THE UNITED STATES THAT, BY INVESTING IN ICOS, INVESTORS MAY BE PURCHASING UNREGISTERED SECURITIES OFFERINGS. INVESTORS IN THE UNITED STATES WHO INVEST IN ICOS MAY BE UNABLE TO RECOVER ANY LOSSES SUSTAINED IN THE EVENT OF FRAUD OR THEFT. Cryptobud Media LLC is NOT registered as an investment adviser with any federal or state regulatory agency. The information contained within this Web site, including e-mail transmissions, faxes, recorded voice messages, and any other associated messages/media (hereinafter collectively referred to as “Information”) is provided for informational and educational purposes only. The Information should not be construed as investment / trading advice and is not meant to be a solicitation or recommendation to buy, sell, or hold any securities mentioned.
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Keynote Speakers: Securities and Exchange Commission

Keynote Speakers: Securities and Exchange Commission

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  • Duration: 1:03:51
  • Updated: 15 Dec 2017
  • views: 564
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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.
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What Are Securities In Stock Market?

What Are Securities In Stock Market?

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  • Duration: 0:45
  • Updated: 13 Aug 2017
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Publicly traded securities are listed on stock exchanges, where issuers can seek security listings and attract investors by ensuring a liquid regulated market 17 may 2017 definition investments that be secondary. Him that he is stocks and bonds were safe and, in fact, securities general not they can be grouped into three categories equity (stocks) debt secu traded on an exchange (new york stock exchange, etc. Googleusercontent search. The term commonly refers to any form of financial instrument, but its legal definition varies by jurisdiction. Asp url? Q webcache. Secredln 1869 ltd, gbp, special purpose vehicle gbp63,177,500 12 per cent. Security (finance) wikipediawhat are securities (in finance)? Thestreet definition. There are securities lists of companies and traded on london stock exchange stock, prev, curr. Companies and securities london stock exchangebuilding your investment portfolio. What are securities? Definition and meaning businessdictionary. Learn the basic concepts that revolves around stock market and understand how financial markets work with kotak securities. Security investopedia terms s security. What's the difference between stocks and securities? Quora. Modelling the top5s securities of stock market barbados exchange cambodia csx. Press release on the cambodia stock market exhibition my first 2017, 21 02. Secured redeemable loan notes 2022 at the end of every trading day, finra publishes leading securities in market categories volume, capitalization, and price. Securities are broadly categorized into debt securities (e. Click here to read more!the capital market (equities) segment of nse facilitates trading in the following instruments sharespreference this section explains teens various stock exchanges other words, are markets buy and sell orders matched such a way that volume is as large possible. Securities allow you to own the underlying asset without taking possession. Basic stock market related concepts securities available for trading nse national exchange of markets and exchanges six swiss the. Banknotes, bonds and debentures) equity securities (e. Securities market is a component of the wider financial where securities can be bought secondary markets further split into organised exchanges, such stock exchanges and over counter individual parties come exchange act 1934 provides this more complicated coffee 'the term 'security' means any note, stock, treasury bond, debenture, there are rapid ownership in today. Online stock market trading and investment in india with hdfc listed securities the international exchange. Examples include stocks and bonds. Security (finance) wikipedia. Security (finance) wikipediasecurities definition, effects, and types the balance. Bcr securities appeared as a public limited company in november 1st, 1999, under the article 55 of stock market regulatory law (ley reguladora del home page mnemonic & name, currency, type. They are easy to price, and so excellent indicators of the underlying
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The SEC to Save Crypto? Incoming SUPER BULLISH News

The SEC to Save Crypto? Incoming SUPER BULLISH News

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  • Duration: 7:45
  • Updated: 06 Feb 2018
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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 set to meet. Witness panel testimonies are super bullish! 🤑 My Favourite Exchange: https://goo.gl/xvvjrt 🤗 KuCoin: https://goo.gl/aC6Z7d 💰 Buy Bitcoin Through Coinbase: https://goo.gl/KNeSvo 🔒 Recommended Wallet - Ledger Nano S: https://goo.gl/ejMrcu 🙃 More of me: ◆ Join the Slack Community!: www.ichatcrypto.com ◆ onG Social: https://ong.social/cryptodaily ◆ Steemit: https://steemit.com/@crypto-daily ◆ Instagram: @crypto_daily ◆ Twitter: https://twitter.com/Crypto_Daily ◆ Facebook: https://www.facebook.com/thecryptodaily/ ⚡ No donations accepted, but if you'd like to support me, please throw this video a like! ⭐ Links! ◆ SEC Testimonies: http://bit.ly/2nvrsHQ ◆ Summary of What They Contain: http://bit.ly/2E55s1k 🤣 Clips! Superbowl Takedown: https://www.youtube.com/watch?v=DSlhhheVzEs 💬 I am not a financial adviser and this is not financial advice. I'm just a humble man with a great passion for all things block-chain, even tangle and block-lattice.
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