Securities & Exchange Commission (SEC)
Mission of SEC
Consequences of SEC Violations
Responsibility of SEC
1934 Securities Exchange Act
Overseen by SEC
SEC Board is called
Number of SEC members
SEC Board Terms
How SEC Board members acquired
Rules about SEC Board
1933 Securities Registration Act
Maloney Act of 1938
1940 Addition to Maloney Act
American Depositary Receipt (ADR)
Muncipal Securities Rulemaking Board (MSRB)
NASDAQ
National Assoc. of Securities Dealers Automated Quotation System
Chicago Board Options Exchange (CBOE)
Self Regulating Organization (SRO)
2010 Dodd - Frank Wall Street Reform and Consumer Protection Act
Legislation passed in 1990's & 2000-2002
Mutual Fund
Beneficiary
Bid Price
Option
Prospectus
Security
Broker/Dealer
Futures Contract
Underwriter
Member Firm
Ask Price
Bond
Stock
Margin Account
Electronic Data Gathering Analysis and Retrieval
(EDGAR Database)
Blue Sky Laws
North American Securities Administration Association (NASAA)
SEC vs SRO
SRO's are responsible for :
Uniform Practice Code
Rules of Conduct
Code of Procedure
Code of Arbitration
MSRB Board consists of
