• 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
  • SEC - The United States Securities And Exchange Commission

    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.

    published: 17 Feb 2015
  • Mark Cuban: SEC Is Worthless | CNBC

    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

    published: 10 Dec 2014
  • I called the Securities & Exchange Commission. What they told me was SHOCKING !

    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.

    published: 15 Aug 2014
  • Work at the Securities and Exchange Commission

    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.

    published: 09 Jan 2009
  • Regulation D (SEC)

    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 o...

    published: 30 Oct 2014
  • SEC - Security & Exchange Commission - USA

    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 publi...

    published: 07 Mar 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
  • Securities And Exchange Commission

    An Easy Overview Of The Securities And Exchange Commission

    published: 06 Nov 2012
  • The United States Securities and Exchange Commission (SEC) Investigations

    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.

    published: 07 Aug 2017
  • What is the Securities and Exchange Commission?

    http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/ What is the Securities and Exchange Commission?

    published: 10 Jun 2016
  • Extracting Financial Data From SEC.gov (EDGAR)

    This video shows how to find and extract financial data from the SEC.gov EDGAR database. We also show you a fast way to scour financial reports using built-in search tools to find relevant data for your financial modeling.

    published: 02 Jul 2014
  • Finding and Understanding SEC Documents

    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.

    published: 05 Mar 2014
  • The Only Thing Working At The SEC Is The Revolving Door

    "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-fearfu...

    published: 13 Apr 2014
  • Securities and Exchange Commission-- Failing Investors

    Why the SEC does not protect the interests of investors. An insider's view.

    published: 11 Mar 2010
  • The Securities Act of 1933 and the Securities Exchange Act of 1934

    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...

    published: 20 Aug 2017
  • Securities and Exchange Commission (Philippines)

    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

    published: 08 Dec 2015
  • The New Deal-FDIC & SEC (A Documentary)

    A documentary crafted by Arthur Lance and Loki Miller. Yeah it's dry, but no one's gonna see it anyways.

    published: 06 May 2007
  • Penny Stock SEC Filing-What To Look For #1

    What to look for in Penny Stock SEC filings. Video 1

    published: 14 Feb 2011
  • Know Your SEC Forms

    We play the most fun game in the world - Know Your SEC Forms. The 10-K, 10-Q, 8-K, and Form 4 are perhaps the most important filings you should know.

    published: 20 Feb 2015
  • ¿Qué es la SEC? por @fca_serrano

    La U.S. Securities and Exchange Commission se denomina vulgarmente SEC, es una institución independiente del gobierno de Estados Unidos. El cometido de SEC es vigilar el cumplimiento de las leyes federales del mercado de valores, la regulación de las bolsas de valores y el mercado de opciones de Estados Unidos. La SEC es la Comisión de Mercados y Valores de Estados Unidos, un organismo regulador y supervisor de los mercados financieros y tiene la responsabilidad de hacer cumplir las leyes federales. La SEC fue creada por el Securities Exchange Act of 1934 para regular la industria de valores. Entre las tareas de la SEC está el hacer cumplir las leyes y normas pertinentes, y proteger a los inversores que interactúan con las diversas organizaciones e particulares. SEC nació tras el crack d...

    published: 11 Jun 2015
  • The Securities Exchange Commission: Priorities Going Forward

    September 5, 2017 Hosted by: the Institute for Corporate Governance and Finance, the Program on Corporate Compliance and Enforcement, and the Pollack Center Panelists: Jay Clayton, Chairman, Securities and Exchange Commission Stephanie Avakian, Co-Director, Division of Enforcement Steven Pekin, Co-Director, Division of Enforcement Peter Driscoll, Acting Director, Office of Compliance Moderators: Jennifer Arlen, Norma Z. Paige Professor of Law, Co-Director, Program on Corporate Compliance and Enforcement Edward Rock, Professor of Law, Director, Institute for Corporate Governance and Finance

    published: 11 Sep 2017
  • Checking SEC-registered companies

    A short HOW-TO video on checking SEC-registered online companies like Bizmates Philippines, Inc.

    published: 05 Jun 2015
  • Securities and Exchange Commission

    published: 28 Apr 2016
  • Securities and Exchange Commission

    published: 07 Apr 2016
  • 3. Securities and Exchange Commission

    3. Securities and Exchange Commission

    published: 27 Sep 2016
  • Securities and Exchange Commissions

    published: 07 Feb 2014
  • Securities and Exchange Commission

    published: 05 Feb 2014
developed with YouTube
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: 22011
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: 3430
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
https://wn.com/What_Is_The_Securities_Exchange_Commission_Is_It_Effective_U.S._Finance
SEC - The United States Securities And Exchange Commission

SEC - The United States Securities And Exchange Commission

  • Order:
  • Duration: 3:01
  • Updated: 17 Feb 2015
  • views: 3614
videos
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.
https://wn.com/Sec_The_United_States_Securities_And_Exchange_Commission
Mark Cuban: SEC Is Worthless | CNBC

Mark Cuban: SEC Is Worthless | CNBC

  • Order:
  • Duration: 2:33
  • Updated: 10 Dec 2014
  • views: 10723
videos
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
https://wn.com/Mark_Cuban_Sec_Is_Worthless_|_Cnbc
I called the Securities & Exchange Commission. What they told me was SHOCKING !

I called the Securities & Exchange Commission. What they told me was SHOCKING !

  • Order:
  • Duration: 6:13
  • Updated: 15 Aug 2014
  • views: 13682
videos
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.
https://wn.com/I_Called_The_Securities_Exchange_Commission._What_They_Told_Me_Was_Shocking
Work at the Securities and Exchange Commission

Work at the Securities and Exchange Commission

  • Order:
  • Duration: 3:42
  • Updated: 09 Jan 2009
  • views: 10209
videos
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.
https://wn.com/Work_At_The_Securities_And_Exchange_Commission
Regulation D (SEC)

Regulation D (SEC)

  • Order:
  • Duration: 9:07
  • Updated: 30 Oct 2014
  • views: 3057
videos
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
https://wn.com/Regulation_D_(Sec)
SEC - Security & Exchange Commission - USA

SEC - Security & Exchange Commission - USA

  • Order:
  • Duration: 1:48
  • Updated: 07 Mar 2016
  • views: 1865
videos
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
https://wn.com/Sec_Security_Exchange_Commission_USA
What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)

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

  • Order:
  • Duration: 34:33
  • Updated: 23 Jul 2015
  • views: 1472
videos
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
https://wn.com/What_Does_The_Securities_And_Exchange_Commission_Do_Rules,_Regulations_(1989)
Securities And Exchange Commission

Securities And Exchange Commission

  • Order:
  • Duration: 1:02
  • Updated: 06 Nov 2012
  • views: 1929
videos https://wn.com/Securities_And_Exchange_Commission
The United States Securities and Exchange Commission (SEC) Investigations

The United States Securities and Exchange Commission (SEC) Investigations

  • Order:
  • Duration: 2:46
  • Updated: 07 Aug 2017
  • views: 140
videos
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.
https://wn.com/The_United_States_Securities_And_Exchange_Commission_(Sec)_Investigations
What is the Securities and Exchange Commission?

What is the Securities and Exchange Commission?

  • Order:
  • Duration: 2:02
  • Updated: 10 Jun 2016
  • views: 178
videos
http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/ What is the Securities and Exchange Commission?
https://wn.com/What_Is_The_Securities_And_Exchange_Commission
Extracting Financial Data From SEC.gov (EDGAR)

Extracting Financial Data From SEC.gov (EDGAR)

  • Order:
  • Duration: 9:05
  • Updated: 02 Jul 2014
  • views: 11208
videos
This video shows how to find and extract financial data from the SEC.gov EDGAR database. We also show you a fast way to scour financial reports using built-in search tools to find relevant data for your financial modeling.
https://wn.com/Extracting_Financial_Data_From_Sec.Gov_(Edgar)
Finding and Understanding SEC Documents

Finding and Understanding SEC Documents

  • Order:
  • Duration: 4:20
  • Updated: 05 Mar 2014
  • views: 3791
videos
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.
https://wn.com/Finding_And_Understanding_Sec_Documents
The Only Thing Working At The SEC Is The Revolving Door

The Only Thing Working At The SEC Is The Revolving Door

  • Order:
  • Duration: 9:02
  • Updated: 13 Apr 2014
  • views: 40710
videos
"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/
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Securities and Exchange Commission-- Failing Investors

Securities and Exchange Commission-- Failing Investors

  • Order:
  • Duration: 5:44
  • Updated: 11 Mar 2010
  • views: 448
videos
Why the SEC does not protect the interests of investors. An insider's view.
https://wn.com/Securities_And_Exchange_Commission_Failing_Investors
The Securities Act of 1933 and the Securities Exchange Act of 1934

The Securities Act of 1933 and the Securities Exchange Act of 1934

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  • Duration: 7:31
  • Updated: 20 Aug 2017
  • views: 826
videos
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
https://wn.com/The_Securities_Act_Of_1933_And_The_Securities_Exchange_Act_Of_1934
Securities and Exchange Commission (Philippines)

Securities and Exchange Commission (Philippines)

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  • Duration: 2:35
  • Updated: 08 Dec 2015
  • views: 1765
videos
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
https://wn.com/Securities_And_Exchange_Commission_(Philippines)
The New Deal-FDIC & SEC (A Documentary)

The New Deal-FDIC & SEC (A Documentary)

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  • Duration: 4:17
  • Updated: 06 May 2007
  • views: 11827
videos
A documentary crafted by Arthur Lance and Loki Miller. Yeah it's dry, but no one's gonna see it anyways.
https://wn.com/The_New_Deal_Fdic_Sec_(A_Documentary)
Penny Stock SEC Filing-What To Look For #1

Penny Stock SEC Filing-What To Look For #1

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  • Duration: 14:22
  • Updated: 14 Feb 2011
  • views: 10129
videos
What to look for in Penny Stock SEC filings. Video 1
https://wn.com/Penny_Stock_Sec_Filing_What_To_Look_For_1
Know Your SEC Forms

Know Your SEC Forms

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  • Duration: 3:53
  • Updated: 20 Feb 2015
  • views: 5050
videos
We play the most fun game in the world - Know Your SEC Forms. The 10-K, 10-Q, 8-K, and Form 4 are perhaps the most important filings you should know.
https://wn.com/Know_Your_Sec_Forms
¿Qué es la SEC? por @fca_serrano

¿Qué es la SEC? por @fca_serrano

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  • Duration: 3:42
  • Updated: 11 Jun 2015
  • views: 1317
videos
La U.S. Securities and Exchange Commission se denomina vulgarmente SEC, es una institución independiente del gobierno de Estados Unidos. El cometido de SEC es vigilar el cumplimiento de las leyes federales del mercado de valores, la regulación de las bolsas de valores y el mercado de opciones de Estados Unidos. La SEC es la Comisión de Mercados y Valores de Estados Unidos, un organismo regulador y supervisor de los mercados financieros y tiene la responsabilidad de hacer cumplir las leyes federales. La SEC fue creada por el Securities Exchange Act of 1934 para regular la industria de valores. Entre las tareas de la SEC está el hacer cumplir las leyes y normas pertinentes, y proteger a los inversores que interactúan con las diversas organizaciones e particulares. SEC nació tras el crack del 29. La alta especulación, Hipotecas y préstamos emitidos por Banca no limpia, etc.… dieron lugar a un órgano supervisor. Se deseaba evitar los abusos del pasado. Según su página web, la propia U.S. Securities and Exchange Commission (SEC) asegura que su principal función es la de proteger a los inversores y mantener la integridad de los mercados de valores. Para llevar a cabo sus funciones viene soportada por el Congreso y no se queda con las multas económicas que recibe por sus actuaciones. Las leyes y reglamentos que rigen el mercado de valores en Estados Unidos se basan en el principio de libre información para los inversores sobre el mercado y las condiciones de las transacciones antes de ser efectuadas. He sacado de su página sus cometidos: 1. La SEC exige a las compañías inscritas en las bolsas de valores, a dar a conocer públicamente su información financiera, garantizando que todos los inversores se encuentren en igualdad de condiciones para tomar decisiones de inversión. 2. La SEC supervisa asimismo para evitar el fraude entre otros participantes clave de los mercados financieros, como corredores, consejeros de inversiones, fondos mutuos, y consorcios que controlan empresas de servicio público. 3. la SEC Lleva a cabo anualmente una media de 600 causas civiles contra personas y compañías que incumplen las leyes y reglamentos. Las infracciones son la compraventa de valores por parte de funcionarios de confianza, los fraudes contables, y la divulgación de información falsa y engañosa relacionada con valores bursátiles y empresas emisoras. 4. La SEC no tiene competencias en materia penal, solo multas pero puede transferir casos concretos al Departamento de Justicia para su investigación penal. Las multas contra los particulares están limitadas a 150.000 dólares por cada infracción. Las sanciones para las empresas tienen un límite de 725.000 dólares. Viene supervisando una media de 30.000 compañías. Remito la fuente que es su página en español. http://www.sec.gov/investor/espanol/quehacemos.html
https://wn.com/¿Qué_Es_La_Sec_Por_Fca_Serrano
The Securities Exchange Commission: Priorities Going Forward

The Securities Exchange Commission: Priorities Going Forward

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  • Duration: 50:23
  • Updated: 11 Sep 2017
  • views: 278
videos
September 5, 2017 Hosted by: the Institute for Corporate Governance and Finance, the Program on Corporate Compliance and Enforcement, and the Pollack Center Panelists: Jay Clayton, Chairman, Securities and Exchange Commission Stephanie Avakian, Co-Director, Division of Enforcement Steven Pekin, Co-Director, Division of Enforcement Peter Driscoll, Acting Director, Office of Compliance Moderators: Jennifer Arlen, Norma Z. Paige Professor of Law, Co-Director, Program on Corporate Compliance and Enforcement Edward Rock, Professor of Law, Director, Institute for Corporate Governance and Finance
https://wn.com/The_Securities_Exchange_Commission_Priorities_Going_Forward
Checking SEC-registered companies

Checking SEC-registered companies

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  • Duration: 0:43
  • Updated: 05 Jun 2015
  • views: 2462
videos
A short HOW-TO video on checking SEC-registered online companies like Bizmates Philippines, Inc.
https://wn.com/Checking_Sec_Registered_Companies
Securities and Exchange Commission

Securities and Exchange Commission

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  • Duration: 1:29
  • Updated: 28 Apr 2016
  • views: 6
videos
https://wn.com/Securities_And_Exchange_Commission
Securities and Exchange Commission

Securities and Exchange Commission

  • Order:
  • Duration: 2:45
  • Updated: 07 Apr 2016
  • views: 42
videos
https://wn.com/Securities_And_Exchange_Commission
3. Securities and Exchange Commission

3. Securities and Exchange Commission

  • Order:
  • Duration: 0:32
  • Updated: 27 Sep 2016
  • views: 6
videos https://wn.com/3._Securities_And_Exchange_Commission
Securities and Exchange Commissions

Securities and Exchange Commissions

  • Order:
  • Duration: 3:10
  • Updated: 07 Feb 2014
  • views: 5
videos
https://wn.com/Securities_And_Exchange_Commissions
Securities and Exchange Commission

Securities and Exchange Commission

  • Order:
  • Duration: 3:41
  • Updated: 05 Feb 2014
  • views: 52
videos
https://wn.com/Securities_And_Exchange_Commission