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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: 29186 FinLit
SEC - Security & Exchange Commission - USA
 
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Welcome to the Investors Trading Academy talking glossary of financial terms and events. Our word of the day is “SEC - Security & Exchange Commission - USA” The Securities Exchange Act of 1934 governs the way in which the nation's securities markets and its brokers and dealers operate. When the stock market crashed in October 1929, so did public confidence in the U.S. markets. Congress held hearings to identify the problems and search for solutions. Based on its findings, Congress – in the peak year of the Depression – passed the Securities Act of 1933. The following year, it passed the Securities Exchange Act of 1934, which created the SEC. The SEC has four major divisions. 1. The Division of Corporation Finance ensures corporate disclosure of important information to the investing public. 2. The Division of Trading and Markets ensures fairness, order and efficiency in market activities. 3. The Division of Investment Management helps protect investors and encourages capital formation through oversight and regulation of the investment management industry. 4. The Division of Enforcement investigates securities law violations and initiates civil and criminal actions. The SEC is composed of five commissioners appointed by the U.S. President and approved by the Senate. The statutes administered by the SEC are designed to promote full public disclosure and to protect the investing public against fraudulent and manipulative practices in the securities markets. Generally, most issues of securities offered in interstate commerce, through the mail or on the internet must be registered with the SEC. By Barry Norman, Investors Trading Academy - ITA
What 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: 5367 Way Back
Mark Cuban: SEC Is Worthless | CNBC
 
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Billionaire and NBA owner Mark Cuban talks about the SEC investigation of him that occurred under Christopher Cox's leadership. » Subscribe to CNBC: http://cnb.cx/SubscribeCNBC About CNBC: From 'Wall Street' to 'Main Street' to award winning original documentaries and Reality TV series, CNBC has you covered. Experience special sneak peeks of your favorite shows, exclusive video and more. Connect with CNBC News Online Get the latest news: http://www.cnbc.com Find CNBC News on Facebook: http://cnb.cx/LikeCNBC Follow CNBC News on Twitter: http://cnb.cx/FollowCNBC Follow CNBC News on Google+: http://cnb.cx/PlusCNBC Follow CNBC News on Instagram: http://cnb.cx/InstagramCNBC Mark Cuban: SEC Is Worthless | CNBC
Views: 15728 CNBC
SEC - The United States Securities And Exchange Commission
 
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What is SEC? The United States Securities and Exchange Comission was founded years and years ago to protect participants of the stock market. SEC offers services for investors and traders. You can use SEC EDGAR search to find financial information about any public stock. The United States Securities and Exchange Commission was create to protect participants of the stock market and to regulate buying and selling processess.
Views: 5587 Joyful Investor
Work at the Securities and Exchange Commission
 
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The SEC is looking for the best and brightest to help strengthen their team in order to better serve as the investor's advocate. A career with the Securities and Exchange Commission offers . . . Work that is exciting, challenging and meaningful. Experience working on cutting edge issues and an opportunity to make a difference for investors in America. Careers that broaden and deepen your already accomplished knowledge, skills and abilities. Opportunity to contribute to the future of investing in the United States. A challenging environment to work and learn with the nation's experts. Benefits, compensation, training, career expansion and a balance with your personal life.
The Only Thing Working At The SEC Is The Revolving Door
 
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"A lawyer from America's Securities and Exchange Commission (SEC) has launched a broadside against his bosses during a leaving speech, accusing them of being too soft on wayward Wall Street chiefs in the wake of the 2008 credit crisis. James Kidney, who retired from the SEC this month after 24 years with the organisation, said in his leaving speech that his bosses had been too 'tentative and fearful' when tackling the behaviour of banking giants. As around 70 SEC lawyers and alumni looked on, Mr Kidney bemoaned the SEC's focus on being polite."* Steve Oh, Jimmy Dore (The Jimmy Dore Show), Malcolm Fleschner (Executive Producer, The Point) and Jackie Koppell break it down. *Read more here from Ted Thornhill / Daily Mail: http://www.dailymail.co.uk/news/article-2600475/Too-tentative-fearful-SEC-attorney-blasts-OWN-bosses-accusing-failing-rein-Wall-Street-leaders-financial-crisis.html ********** The Largest Online News Show in the World. Hosted by Cenk Uygur and Ana Kasparian. LIVE STREAMING weekdays 6-8pm ET. Young Turk (n), 1. Young progressive or insurgent member of an institution, movement, or political party. 2. Young person who rebels against authority or societal expectations. (American Heritage Dictionary) The Young Turks (Winner - Best Political Podcast & Best Political News Site of 2009) were the first original talk show on Sirius satellite radio and the first live, daily webcast on the internet. But that is not the revolution. We are a rare show that combines all of the news that people care about in one place. We are not afraid to talk about politics and entertainment and sports and pop culture. But that is not the revolution either. The real revolution is in daring to be honest with people. We don't patronize our viewers or lie to them. We have real conversations and deliver the news honestly. Download audio and video of the full two hour show on-demand + the members-only post game show by becoming a member at http://www.tytnetwork.com/tytmembership. Your membership supports the day to day operations and is vital for our continued success and growth. Join The Young Turks Network mailing list https://www.tytnetwork.com/secure/sign-up-free/ or Support The Young Turks by Subscribing http://www.youtube.com/user/theyoungturks?sub_confirmation=1 Like Us on Facebook: http://www.facebook.com/TheYoungTurks Follow Us on Twitter: http://www.twitter.com/TheYoungTurks Support TYT for FREE by doing your Amazon shopping through this link (bookmark it!) http://www.amazon.com/?tag=theyoungturks-20 Get your TYT Merch: http://shoptyt.com or http://theyoungturks.spreadshirt.com/
Views: 41075 The Young Turks
I called the Securities & Exchange Commission. What they told me was SHOCKING !
 
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I wanted to know if a purchase of a stock i wanted to make would violate insider trading laws. more than a month ago I met with a company who wanted to invest in one of my portfolio companies. We never discussed their business. Only ours. But I liked the company. The next week their stock fell significantly after their earnings report. It was now at a price I wanted to buy it.The only non public information i have is that they have an interest in one of my companies. Would it be insider trading if i bought the stock ? I called the SEC to see if I could get this question answered. What I found shocked even me.
Views: 14132 blogmaverick
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
 
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The Securities and Exchange Commission is a regulatory group for financial advisers. Learn about the Securities and Exchange Commission, or SEC, with information from a financial planner in this free video on personal finance and the stock market. Expert: Chris Markowski Contact: www.watchdogonwallstreet.com Bio: Christopher Markowski is the founder of the financial planning firm, Markowski Investments. Filmmaker: Christopher Rokosz
Views: 1690 eHow
OUR NON PROFIT APPLICATION IS NOW IN SECURITIES AND EXCHANGE COMMISSION (SEC)
 
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https://www.patreon.com/terenceflannery Our site is about many aspects of ordinary life in the Philippines. Our videos cover various projects, we have built a houses of the needy ,bringing smile to the Filipino kids . Ours is essentially a family oriented site aimed at those who seek a second chance at life. Our mission is to entertain to encourage and to inspire those who seek another way to live.
Security and Exchange Commission (SEC)
 
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In a post stock market crash commercial, I tell you everything that you need to know about the Security and Exchange Commission (SEC) implemented by Franklin D. Roosevelt. Beware of the over exaggerated personalities and expressions. I hope you all enjoy my not so good attempt at being funny... Watching this video will only take... you guessed it... A "SEC"
Views: 446 Michael Cerullo
Definition of a Penny Stock by U.S. Securities and Exchange Commission (SEC)
 
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If you like the video please like & share the video & do subscribe to this channel for more such video. Thank you for watching the video.
Craig Lewis - U. S. Securities and Exchange Commission (SEC)
 
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2013 XBRL US National Conference Keynote: "SEC Chief Economist View on XBRL" Chief Economist and Director of the Division of Risk, Strategy, and Financial Innovation
Views: 1439 XBRL US
Finding and Understanding SEC Documents
 
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This video will teach you about the most common types of Securities and Exchange Commission (SEC) filings and will demonstrate how to use the EDGAR database (http://www.sec.gov/edgar.shtml) to conduct research about public companies.
Views: 6507 hlslib
Keynote Speakers: Securities and Exchange Commission
 
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Nadia Brannon - Member at Distributed Ledger Technology Working Group, SEC Nadia is an econometrician by training and is a certified fraud examiner. Prior to SEC, she was an executive director with Ernst & Young in San Francisco where she led forensic data analytics practice. Zachary Fallon - Special Counsel in the Office of Small Business Policy, SEC Zachary joined the SEC in 2009 as an Attorney-Advisor in the Office of the General Counsel, and most recently served as Senior Special Counsel to the Director of the Division of Corporation Finance. Victor Hong - Senior Counsel in the Division of Enforcement, SEC Victor has extensive experience investigating and litigating potential securities law violations. Beforehand, he was in private practice with a large New York law firm and a law clerk on the Second Circuit Court of Appeals. Scott Walker - Attorney-Advisor in the Office of Compliance Inspections and Examinations, and member of Distributed Ledger Technology Working Group, SEC Scott's primary focus is on Investment Advisers and Investment Companies. Prior to his work as a regulator, Scott was a Corporate Counsel at Barclays and BlackRock.
SECURITIES & EXCHANGE COMMISSION (SEC)
 
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Breaking News: SEC Chairman Declares All ICOs As Securities
 
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Breaking News: SEC Chairman Declares All ICOs As Securities Subscribe: http://bit.ly/CryptoCoinNewsYT Jay Clayton, the head of the Securities and Exchange Commission (SEC) has made an announcement on CNBC with regards to ICO's. According to the SEC, all tokens or digital assets that were used to raise funds for a venture or company with an expectation of profit, either given by the company formed or exchangeable on a secondary market, are classified as securities, meaning that most ICO's would fall under this definition. The chairman also underlined that the agency won't be adjusting the current rules of the SEC for Initial Coin Offerings. Clayton was not entirely against the technology provided by the blockchain industry, stating that distributed ledger technology provides incredible promise not only in the financial market but in other areas too. Finally, the SEC representative said that cryptocurrencies like Bitcoin should not be considered as a security, given that they do not seek to fund a project in exchange for a return.
Views: 15482 CryptoCoin.News
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: 5430 Edspira
What is the Securities and Exchange Commission?
 
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http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/ What is the Securities and Exchange Commission?
Views: 327 Jason Mance Gordon
Regulation D (SEC)
 
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In the United States under the Securities Act of 1933, any offer to sell securities must either be registered with the United States Securities and Exchange Commission (SEC) or meet certain qualifications to exempt them from such registration. Regulation D (or Reg D) contains the rules providing exemptions from the registration requirements, allowing some companies to offer and sell their securities without having to register the securities with the SEC. A Regulation D offering is intended to make access to the capital markets possible for small companies that could not otherwise bear the costs of a normal SEC registration. Reg D may also refer to an investment strategy, mostly associated with hedge funds, based upon the same regulation. The regulation is found under Title 17 of the Code of Federal Regulations, part 230, Sections 501 through 508. The legal citation is 17 C.F.R. §230.501 et seq. On July 10th, 2013, the SEC issued new final regulations allowing public advertising and solicitation of Regulation D offers to accredited investors. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 4111 Audiopedia
01 | SEC Company Registration System (CRS) | Verify Company Name
 
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After you have successfully created and activated your account, you may now start the registration process. In this tutorial, you will learn how to use the CRS to verify your company name. Log on to https://crs.sec.gov.ph/ to register your company online. To learn more about how to use the CRS to register your company online, watch the SEC CRS | Online Company Registration Tutorial Series https://www.youtube.com/playlist?list=PLYB65DangkWLf6Ic6v_s3jvrvLVlXOcvM You may also visit our website at http://www.sec.gov.ph/ for more information. Music by: RAMOL
Securities and Exchange Commission (Philippines)
 
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See Securities and Exchange Commission for other similarly named organizations in other countries The Securities and Exchange Commission is the agency of the Government of the Philippines responsible for regulating the securities industry in the Philippines. The SEC is an agency within the Office of the President of the Philippines. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 2759 Audiopedia
02 | SEC Company Registration System (CRS) | Add Company Information
 
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In this tutorial, you will learn how to use the CRS to add your company information. Log on to https://crs.sec.gov.ph/ to register your company online. To learn more about how to use the CRS to register your company online, watch the SEC CRS | Online Company Registration Tutorial Series https://www.youtube.com/playlist?list=PLYB65DangkWLf6Ic6v_s3jvrvLVlXOcvM You may also visit our website at http://www.sec.gov.ph/ for more information. Music by: RAMOL
Virtual Currencies: The Oversight Role of the U.S. Securities and Exchange Commission
 
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Virtual Currencies: The Oversight Role of the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission This is a video I believe anyone investing or getting into cryptocurrency should watch, understand, and learn. This meeting alone has been one of the reasons that nearly all cryptocurrencies are rising. The government can not regulate and is having problems with their own internal guidelines and rules for stocks, bonds, 401k, currency, and a whole bunch more. Why are they getting their hands into cryptocurrency? They do not have anything under control now. Should they start regulating Pokemon Cards as well? Some really good points being brought up for example with Russia and India wanting to create their own Cryptocurrency how will the United States try and regulate it. (Kinda funny the USA regulating a Russian or Indian currency... Good luck) I get the primary concern is ICO and Money Laundering. But it seem the US is about to go toe to toe with other countries and trying to enforce their regulation. No one controls Bitcoin and to them they think of this as an opportunity to tax people and make money. But they are finding out their hands are tied and no one supports what they want. Things are looking good for Bitcoin and Blockchain Technology. ---------- Crypto News TV Information ---------- **Crypto News TV Telegram Chat** http://bit.ly/2nokwzk **FREE $10 in Bitcoin on Coinbase** http://bit.ly/2ipXsdU **Receive FREE Bitcoin 100% Free** http://bit.ly/2jDB0hL **Cryptocurrency Podcast on iTunes** http://apple.co/2mNKdZT Contact Info: Website: https://cryptonewstv.com/ IG: https://www.instagram.com/cryptonewstv/ Donations: BTC: 171SaTtfo6byG3QYCkh8twyu7koDbHuM4J ETH: 0xA51829b418FEdBeadbdc90cc3474026e46EaDC1e NEO: AQ9iBvwu3hwzmdKR5D3ejg2suHQXrbMFcL
Views: 1120 Crypto News
Checking SEC-registered companies
 
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A short HOW-TO video on checking SEC-registered online companies like Bizmates Philippines, Inc.
Views: 14699 Bizmates Philippines
OH MENZGOLD IS FINISHED - SEC ORDERS IMMEDIATE SHUTDOWN, HERE'S WHY
 
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What's trending today? Menzgold Ghana has been ordered to cease operations by the Securities & Exchange Commission due to several reasons fully explained in the video. RELATED VIDEOS: MENZGOLD IS GOING DOWN BECAUSE OF THIS - FULL VIDEO: https://youtu.be/My1BUDocq0g IBRAH ONE EXPOSES MENZGOLD CEO ( NAM1) AFTER BANK OF GHANA WARNING: https://youtu.be/P1voEaKarJU Watch and enjoy the video. Don't forget to like, comment and share, also subscribe if you're new. Thank you. #Menzgold #MenzgoldGhana #MenzgoldShutdown Akasanoma #1 English to Twi app: https://play.google.com/store/apps/details?id=com.versified.akasanoma Studio92 designed my logo: http://studio92gh.com/ Background Music: Blakk interlude by Blakk - TRAPEZIUM EP OUT NOW! https://www.reverbnation.com/blakkwithnoctwokslikekkrapperandasongwriterfromaccraghana Twitter: https://twitter.com/McblakGh
Views: 963 Sweet Trends TV
The New Deal-FDIC & SEC (A Documentary)
 
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A documentary crafted by Arthur Lance and Loki Miller. Yeah it's dry, but no one's gonna see it anyways.
Views: 12440 Arthur Lance
Regulation of the Stock Market and the Securities and Exchange Commission SEC
 
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Gennecho Finance In this video we will go over Regulation of the Stock Market and the Securities and Exchange Commission SEC Personal Finance: Turning Money into Wealth by Arthur J. Keown http://amzn.to/2B3ROcR Sign up to Gennecho's weekly newsletter! http://gennechofinance.gr8.com/ Subscribe to our YouTube Channel Follow us on Twitter @GennechoFinance Like us on Facebook @gennechofinance Follow us on Instagram gennechofinance
Views: 12 Gennecho Learning
SEC To Launch Corporate Registration System   Bizwatch
 
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You will be glad to know that you can now register your business online. Before the year ends, this will be made possible through the Corporate Registration System or CRS launched by the Securities and Exchange Commission. The Securities and Exchange Commission or SEC is on track to launch the Corporate Registration System before 2016 ends. SEC Chairperson Teresita Herbosa said with CRS, not only will online registration of corporations benefit the public, it will also allow SEC to monitor companies through a red flag system. Furthermore, since this limits face-to-face interactions with the public, this step is also seen to reduce opportunities for graft. The Corporate Registration System complements this agency’s Integrated Business Registration System which allows simultaneous registration with other agencies. These government agencies include the BIR, SSS, Philhealth, and Pag-ibig. Indeed, these new developments undoubtedly improve ease of doing business in the Philippines. In 2015, about 25,000 new corporations were processed by SEC. The Securities and Exchange Commission now regulates about 930,000 corporations in the country. The Philippines’ corporate regulatory watchdog which has around 400 employees also averaged almost P3 billion a year for the last three years. It operates at an average budget of P600 million every year. Meanwhile, in the latest Survey of Enterprises for 2016, the SEC topped the list for net sincerity ratings among 35 institutions in fighting corruption. This survey was undertaken by the Social Weather Station, supported by the Integrity for Investments Initiative. It is funded by the United States Agency for International Development or USAID in partnership with the National Competitiveness Council and the Asia Foundation.
Views: 1647 Business and Leisure
Brand Ambassador for Securities and Exchange Commission (SEC)😃😃
 
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The TV Commercials I did for Securities and Exchange Commission (Nigeria)
Views: 9 Andrea Egbe
The United States Securities and Exchange Commission (SEC) Investigations
 
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Understanding the SEC and what may trigger an SEC investigation are important considerations for foreign investors. Having your company investigated by the SEC is something any investor should avoid at all costs. Mayer Brown partner Richard Rosenfeld shares tips for avoiding such an investigation.
Views: 295 Mayer Brown
Impact SEC, Securities Exchanges Industry Meeting - Johnson Chukwu |Business Morning|
 
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For more information log on to http://www.channelstv.com
Views: 521 Channels Television
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
 
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Under Cox's leadership, the SEC on September 17 and 18, 2008, imposed a variety of both permanent and emergency restrictions on short selling in response to the liquidity crisis. Abusive naked short selling, in which the seller intentionally fails to deliver the shares sold short in time for settlement, was banned outright, an exception for options market makers that had been in place for several years was eliminated,[94] and a new anti-fraud provision, Rule 10b-21, was adopted to give specific enforcement authority in such cases.[95] In September 2008, short selling of 799 financial stocks was temporarily curtailed[93] in response to rumors accompanied by heightened short selling activity in the shares of major financial institutions. On September 26, 2008, Cox ended the 2004 program for voluntary regulation of investment bank holding companies, begun under SEC Chairman William Donaldson and then-Director of Market Regulation (later SEC Commissioner) Annette Nazareth. The program "was fundamentally flawed from the beginning, because investment banks could opt in or out of supervision voluntarily," Cox said.[96] A critical report by the SEC inspector general that evaluated the program in light of the Bear Stearns near-failure in March 2008 found that while "Bear Stearns was compliant with the capital and liquidity requirements" at the time of its acquisition, "its collapse raises serious questions about the adequacy of these requirements." However, according to the Inspector General, his report "did not include a determination of the cause of Bear Stearns' collapse" or determine "whether any of these issues directly contributed to Bear Stearns' collapse." On that subject, the report stated, "we have no evidence linking these significant deficiencies with the cause of Bear Stearns' collapse."[97][98] Cox criticized the oversight program on the ground that because of its voluntary nature and the SEC's limited statutory authority, the agency could not force changes in the hundreds of unregulated subsidiaries of large investment banks such as Goldman Sachs, Morgan Stanley, Merrill Lynch, Lehman Brothers and Bear Stearns as bank regulators could do with bank holding companies. In testimony before Congress on several occasions in 2008, he asked for statutory authority to regulate investment bank holding companies.[99] In addition to the fact that the Gramm-Leach-Bliley Act did not give the SEC the authority to regulate large investment bank holding companies, Cox noted that investors were vulnerable to other regulatory gaps such as the fact that the $60 trillion market for credit default swaps was then completely unregulated. "Neither the SEC nor any regulator has authority even to require minimum disclosure", he said.[96] In testimony and public statements he urged Congress to enact remedial legislation.[100] Cox said that during the buildup of the credit crisis, when the credit rating agencies were still unregulated, they gave top credit ratings to financial instruments which packaged risky loans and spread the negative impacts of the credit crisis more broadly throughout the markets.[101] Following the first-time SEC registration of the credit rating agencies in September 2007 under newly enacted legislative authority, he ordered a 10-month examination of the three major rating agencies that uncovered significant weaknesses in their ratings practices for mortgage-backed securities and that called into question the impartiality of their ratings. The results were reported to Congress in July 2008.[102] The SEC immediately commenced a rulemaking which concluded on December 3, 2008 with approval of a series of measures to regulate the conflicts of interests, disclosures, internal policies, and business practices of credit rating agencies. The regulations were intended to ensure that firms provide more meaningful ratings and greater disclosure to investors concerning collateralized debt obligations and residential mortgage-backed securities. https://en.wikipedia.org/wiki/Christopher_Cox
Views: 183 Way Back
Let's Talk about The U.S. Securities and Exchange Commission, SEC
 
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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.
Views: 191 Learn To Trade
00 | SEC Company Registration System (CRS) | How to create an Account
 
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In this tutorial, you will learn how to create and activate an account on the SEC Company Registration System (CRS). Log on to https://crs.sec.gov.ph/ to register your company online. To learn more about how to use the CRS to register your company online, watch the SEC CRS | Online Company Registration Tutorial Series https://www.youtube.com/playlist?list=PLYB65DangkWLf6Ic6v_s3jvrvLVlXOcvM You may also visit our website at http://www.sec.gov.ph/ for more information. Music by: RAMOL
The SEC's Investment Company Reporting Modernization Rules and Forms: What You Need to Know
 
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The U.S. Securities and Exchange Commission (SEC) recently adopted sweeping new rules and forms to modernize reporting for registered investment companies (funds). The new requirements will dramatically increase the quantity and type of information that funds will provide to the SEC and investors. This webinar examines key components of the new requirements, as well as highlight issues raised by this new reporting regime, and how the new rules and forms may reflect the SEC’s future policy and examination priorities.
Views: 730 Dechert LLP
03 | SEC Company Registration System (CRS) | Add Company Details
 
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In this tutorial, you will learn how you can use the system to add your company details. This section will vary depending on the choices you made in the previous steps. The forms and required fields for Stock Corporations, Non-Stock Corporations, Partnerships, etc. may look different from one another as each company type has a different set of requirements. The forms for companies with foreign equities may also look different. Log on to https://crs.sec.gov.ph/ to register your company online. To learn more about how to use the CRS to register your company online, watch the SEC CRS | Online Company Registration Tutorial Series https://www.youtube.com/playlist?list=PLYB65DangkWLf6Ic6v_s3jvrvLVlXOcvM You may also visit our website at http://www.sec.gov.ph/ for more information. Music by: RAMOL
Harry Markopolos - The Securities and Exchange Commission Ignored His Warnings
 
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Harry Markopolos - The Securities and Exchange Commission ignored his warnings about financier Bernard Madoff for years. Markopolos says he warned SEC staffers in Boston, New York and Washington.
Views: 268 tp1murray
Nigeria SEC boss, Arunma Oteh, fights back
 
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During a particularly heated back and forth at the House of Rep probe into the Capital Market crash, SEC boss, Arunma Oteh goes on the defensive. Offended that her competence and credibility have been brought into question, Oteh defended her practice on the job while questioning the credibility of the leaders of the House of Rep committee on the Capital Market.
Views: 68144 Channels Television
062118 -- “Oversight of the U.S. Securities and Exchange Commission” (EventID=108477)
 
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Thursday, June 21, 2018 (10:00 AM) -- Committee on Financial Services Hearing: “Oversight of the U.S. Securities and Exchange Commission”
Views: 1619 GOPFinancialServices
Tesla's Elon Musk sued by SEC for fraud — Thursday, Sept. 27 2018
 
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Tesla CEO Elon Musk has been sued by the Securities and Exchange Commission for fraud, according to court documents filed Thursday. » Subscribe to CNBC: http://cnb.cx/SubscribeCNBC About CNBC: From 'Wall Street' to 'Main Street' to award winning original documentaries and Reality TV series, CNBC has you covered. Experience special sneak peeks of your favorite shows, exclusive video and more. Connect with CNBC News Online Get the latest news: http://www.cnbc.com/ Find CNBC News on Facebook: http://cnb.cx/LikeCNBC Follow CNBC News on Twitter: http://cnb.cx/FollowCNBC Follow CNBC News on Google+: http://cnb.cx/PlusCNBC Follow CNBC News on Instagram: http://cnb.cx/InstagramCNBC Tesla's Elon Musk sued by SEC for fraud — Thursday, Sept. 27 2018
Views: 27865 CNBC Television
Mounir Gwarzo suspended as DG Securities and Exchange Commission, SEC
 
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Mounir Gwarzo suspended as DG Securities and Exchange Commission, SEC Mounir Gwarzo suspended as DG Securities and Exchange Commission, SEC Mounir Gwarzo suspended as DG Securities and Exchange Commission, SEC Subscribe my channel: https://www.youtube.com/channel/UCk4EEux6V2KdtN6m9es2zAg?sub_confirmation=1
Views: 5 Charles C. Baker
A former Securities and Exchange Commission (SEC) prosecutor says the case against Phil Mickelson is
 
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AP TELEVISION New York - June 2, 2014 ++ NOTE: SOUNDBITES ARE SEPARATED BY BLACK FRAMES ++ 1. SOUNDBITE (ENGLISH): Robert Heim, Former SEC Prosecutor "Mickelson really has to establish here that the trades that he made were done without any sort of material nonpublic information coming into his possession so what the government is investigating is whether or nor Mr. Mickelson received a tip that would have alerted him to some upcoming offer for the Clorox company and in order for him to really succeed and exonerate himself he has to show that his trading was based on independent information and not on anything that he may have gleaned as a part of a tip from Billy Walters or Carl Icahn." 2. SOUNDBITE (ENGLISH): Robert Heim, Former SEC Prosecutor "I think the question about whether or not he's going to be impacted in terms of his image is a more complicated one because often times people when they became subject to these governmental investigations, even the question of improper conduct can be quite damaging for their reputation especially like Mr. Mickelson who has a very clean reputation. I think it's too early to tell right now, he did say he was cooperating so in the long run he may be able to weather this storm but I think over the next couple of weeks it's really going to be the make or break time for his future endorsements and his image." 3. SOUNDBITE (ENGLISH): Robert Heim, Former SEC Prosecutor "Carl Icahn really for 50 years has been a very activist, well-known investor. He's never really been in trouble before unlike many of his counterparts on Wall Street. Mr. Icahn does have the reputation of being a compliance oriented investor so that's one of the reasons that this case is so noteworthy. Mr. Icahn has instead he has done nothing wrong but at the same time any sort of implication of insider trading can be very damaging to his reputation so now at the end of his career it's going to be a question of whether he can survive with his reputation intact if these charges turn out to be true or not." 4. SOUNDBITE (ENGLISH): Robert Heim, Former SEC Prosecutor "It's been difficult for the SEC to find really solid evidence like an email or a smoking gun or even having some sort of recorded conversation so I think the SEC does have quite a challenge ahead of it and we'll have to see whether they can come up with enough evidence to charge Mr. Mickelson." You can license this story through AP Archive: http://www.aparchive.com/metadata/youtube/b4932f70a53df215ecbf226051ea9bf9 Find out more about AP Archive: http://www.aparchive.com/HowWeWork
Views: 13 AP Archive
SEC and NASAA Sign MOU
 
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The Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) signed an information sharing agreement as new rules to facilitate intrastate crowdfunding take effect.
Securities and Exchange Commission Orders Jay-Z to Appear in Court
 
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Securities and Exchange Commission Orders Jay-Z to Appear in Court On Thursday, the SEC announced it is investigating Iconix Brand Group Inc., which acquired Jay-Z’s retail company, Rocawear, for $200 million in 2007. The commission believes Iconix has violated federal securities laws regarding its financial reporting on the clothing brand. The SEC said it sent Jay-Z, born Shawn Carter, two subpoenas, one in November and the other in February, for which he failed to appear. Securities and Exchange Commi
Securities and Exchange Commission (SEC) | OSBP Episode 19
 
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The Small Business Office Showcase videos are a narrated tour of specific agency and large prime contractor sites. We point out the strengths and weaknesses of these sites for your convenience. If you see any error, or improvements have been made to the site, please let us know and we'll record a new video. ABOUT NEIL MCDONNELL “Selling to the government is easy. There is no secret... but there IS a process.” Neil McDonnell is a technology entrepreneur and communications specialist, dedicated to helping small businesses succeed in the federal contracting marketplace. He is President of SV Mac Pack, Inc., (a HUBZone-certified and veteran-owned small business) and Chairman of the HUBZone Chamber of Commerce. Contact Neil with your questions related to #HUBZone, WOSB, VOSB, SDVOSB, , SDB/8(a), or other government contracting small businesses including those just getting started and needing help registering in the System for Awards Management / SAM.gov or about your Capability Statement. Neil's LinkedIn Profile: https://www.linkedin.com/in/neil-mcdonnell/ https://www.neilmcdonnell.com https://www.svmacpack.com https://www.hubzonechamber.com
Views: 2 Neil McDonnell