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