0
Are securities and exchange commission an example of a government agency?
Wiki User
∙ 10y agoWant this question answered?
Be notified when an answer is posted
Add your answer:
Earn +20 pts
How do you use financial as a noun in a sentence?
The noun form is financials for the adjective financial. Example sentence:The company has three days left to post its financials with the Securities and Exchange Commission.
How hard is it to get or switch jobs if you have a bankruptcy?
Unless you are applying for a position with a company that does a financial background check, (for example, Securities and Exchange Commission)changing or getting a new job after a BK should not be any more difficult than normal.
What are the example of Malaysian Government Securities?
Examples of Malaysian Government Securities include Malaysian Government Securities (MGS), Malaysian Treasury Bills (MTB), and Malaysian Islamic Treasury Bills (MITB). These securities are issued by the Malaysian government to raise funds from investors and are considered low-risk investments due to the government's backing.
What agency sets the margin rates for purchasing stock in the us?
Securities and Exchange Commission (SEC)This answer is wrong.The correct answer is below.The Federal Reserve Bank of New York sets the margin rates or in other words the percentage of money that can be borrowed from a securities dealer when buying stocks on margin. As example, the NY Federal Reserve Bank may allow customers of a securities firms to put up only 50% of the cost of a stock purchase.
What are the objectives of Nasdaq?
Nasdaq is an over the counter market for buying and selling securities. Stocks for example are bought from a dealer at a posted range of prices. This is unlike the New York Stock Exchange where securities are purchased at the current market value as determined by a free market exchange.
Which is an example of a local county government body?
Roanoke County Commission
What are examples of held to maturity securities?
example of held to maturity securities
Where can you find Bose Corporation's 10 Q form?
Bose Corporation is a privately held company, and therefore does not file Form 10-Q with thee U.S. Securities and Exchange Commission (SEC). However, if it were a publicly-held corporation, you could find its SEC filings (for example, the 10-Q) on the SEC's website, SEC dot GOV.
Where can you find Bose Corporation's 10-Q form?
Bose Corporation is a privately held company, and therefore does not file Form 10-Q with thee U.S. Securities and Exchange Commission (SEC). However, if it were a publicly-held corporation, you could find its SEC filings (for example, the 10-Q) on the SEC's website, SEC dot GOV.
What is an example of an regulatory commission?
I beleive that the Nuclear Regulatory Commission (NRC) is a Regulatory Commission.
Why is the commerce so important?
The "Commerce Clause," Article I, Section 8, Clause 3, of the United States Constitution arguably is important because it is the means by which Congress is able to legislate in areas that would otherwise be left to the States to decide. In the U.S. federal system, any powers not granted to the federal government are reserved by the States. For example, there is no Constitutional grant of power to Congress to regulate the issuance and registration of securities. Regulating the securities industry, therefore, was left to the various States to determine. Where, then, does the authority lie for the Securities and Exchange Commission to regulate the public markets? The answer lies in the Commerce Clause. It allows Congress to "regulate commerce... among the several states." Accordingly, as soon as a company in Virginia offers shares of its stock for sale to a person in North Carolina, "interstate commerce" has occurred and Congress is empowered to regulate that commerce. Congress thus passed the Securities Act of 1933 and the Securities Exchange Act of 1934 on the authority that it was regulating interstate commerce. Note that, in general, those laws do not apply to offerings of securities made wholly within a single state. For example, a company in Roanoke, VA, selling its shares of stock to a person in Stafford, VA, would not be subject to the federal securities laws if no one outside of Virginia purchased those share. An internet search of this topic will uncover a laundry-list of instances by which Congress has invoked the Commerce Clause to regulate in areas in which it was not explicitly granted authority.
Why is the commerce clause so important?
The "Commerce Clause," Article I, Section 8, Clause 3, of the United States Constitution arguably is important because it is the means by which Congress is able to legislate in areas that would otherwise be left to the States to decide. In the U.S. federal system, any powers not granted to the federal government are reserved by the States. For example, there is no Constitutional grant of power to Congress to regulate the issuance and registration of securities. Regulating the securities industry, therefore, was left to the various States to determine. Where, then, does the authority lie for the Securities and Exchange Commission to regulate the public markets? The answer lies in the Commerce Clause. It allows Congress to "regulate commerce... among the several states." Accordingly, as soon as a company in Virginia offers shares of its stock for sale to a person in North Carolina, "interstate commerce" has occurred and Congress is empowered to regulate that commerce. Congress thus passed the Securities Act of 1933 and the Securities Exchange Act of 1934 on the authority that it was regulating interstate commerce. Note that, in general, those laws do not apply to offerings of securities made wholly within a single state. For example, a company in Roanoke, VA, selling its shares of stock to a person in Stafford, VA, would not be subject to the federal securities laws if no one outside of Virginia purchased those share. An Internet search of this topic will uncover a laundry-list of instances by which Congress has invoked the Commerce Clause to regulate in areas in which it was not explicitly granted authority.
