Securities and exchange commission

Réussis tes devoirs et examens dès maintenant avec Quizwiz!

law and rules that govern the securities industry

- all investors, whether large institutions or private individuals, should have access to certain basic facts about an investment prior to buying it, so long as they hold it.

SEC requirements

- public companies must disclose meaningful financial and other information to the public

SEC oversees

- securities exchanges - securities brokers and dealers - investment advisors - mutual funds --> promote disclosure of important market-related information, maintaining fair dealing, and protecting against fraud

need for the SEC

- stocks, bonds, and other securities can lose value -- there are no guarantees

banking deposits

guaranteed by the federal government

SEC overall

- to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation -


Ensembles d'études connexes

Nursing Management of Pregnancy at Risk: Pregnancy-Related Complications

View Set

Chapter 1 - Electronic Health Record Key Terms (MA 171)

View Set

BIO 211 Midland's Tech Koziel Test 4

View Set

A&P Final Exam- Review Questions

View Set