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Yes, they do
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How is the NYSE regulated?
sec
What is the SEC form EFFECT for?
what is a effect form
What are the responsibility of the Securities and Exchange Commission?
Do you mean the past or present purpose of the SEC? From the SEC's web site (sec.gov): 'The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation"
Amount of work done divided by the time it takes to do it is defined as?
The average power in that period. Power (watts) = joules/sec
What organization regulates the sale of stock in corporations?
In India it is SEBI - Securities and Exchanges Board of India In USA it is SEC - Securities Exchange Commission
Is commingled funds the same as hedge funds?
No, commingled funds is different from hedge funds. Commingled funds just means that the investment vehicle pools resources from different investors, meaning that those resources are not segregated as in managed accounts, for instance. Hedge funds, on the other hand, are investment vehicles that are able to invest in many asset classes, sell securities short, and use leverage. They accept only a subset of investors that qualify according to the SEC and can charge performance fees to their investors.
What is the difference between hedge funds and mutual funds?
Mutual funds and hedge funds both pools investor's money into one larger, centrally-managed set of assets. The main difference is in legal structure and regulation. In the US, mutual funds are heavily regulated by the Securities and Exchange Commission (SEC). Because they are unregulated, hedge funds are not open to the general public. The US government only allows high net worth individuals and institutional investors to invest in them. Before 2005, the SEC did not regulate hedge funds at all. Their freedom is now being curtailed. The SEC is now asserting some regulatory power. In the UK, the Financial Services Authority already exercises much more oversight. This is driving hedge funds overseas. In the US, Mutual funds are investment companies that must register with the U.S. Securities and Exchange Commission and are subject to strict regulation under four federal laws: the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act. Hedge Funds are not considered to be investment companies, and are thus excluded under the federal securities laws. This may be because of the private nature of their offerings or the financial means and sophistication of their investors (e.g., investment funds with no more than 100 investors and private investment funds whose investors each have a substantial amount of investment assets - $5 million minimum for some funds under Investment Company Act of 1940). Thus, unlike Mutual Funds Hedge Funds do not have to face: * periodic reports under the Securities Exchange Act of 1934; * regulations on the structure and operation of funds; * NASD rules limiting sales charges and other distribution fees that need to be presented in comparable and standard form (e.g., expense ratios); * restrictions on ability to leverage or borrow against the value of securities in its portfolio, which practically eliminate the ability to buy on margin and sell short; * requirements to value portfolios and price their securities daily based on market quotations; * requirements by law to allow shareholders to redeem their shares at any time; * requirements regarding a fund's portfolio diversification and its distribution of earnings; * NASD oversight of fund advertisements and other sales materials; * the need for majority of independent directors who are responsible for extensive oversight of the fund's policies and procedures.
Who does the situational leader report to?
They report to operation sec chief
Who the situation unit leader report to?
They report to operation sec chief
Difference between venture capital fund and hedge fund?
Investing takes many forms, from simple to complex, safe to risky. If you have money you want to put to work, you should first prepare by researching the many different strategies available. For investors with a large amount of capital, hedge funds and venture capital are two popular options.Hedge FundA hedge fund is a pool of investment capital that a manager invests on shareholders' behalf. In this basic operation, a hedge fund is similar to a mutual fund, but with a crucial difference: the complete discretion it gives the fund manager to invest where and how he chooses. This means hedge funds can hold any and all investment types, from the safest U.S. Treasury bond to the riskiest junk bonds, stock options and futures contracts. Entrance FeeHedge funds have much higher minimum investments than ordinary mutual funds and place greater restrictions on withdrawals. Some hedge funds require you to stay invested a minimum of a year or more to avoid a run on the fund that could force it to liquidate its investments. Hedge funds tend to be riskier than mutual funds, and it can be difficult to ascertain how much their holdings are worth. Because hedge funds are not regulated by the SEC, potential investors must thoroughly research the performance and management before entrusting their money to a hedge-fund manager. Venture CapitalA venture fund takes a more active role in its investments. It allows investors -- individuals as well as institutions -- to invest money in new companies and enterprises. The fund pools money from its partners and buys a share in companies that do not yet have the finances or history to successfully offer shares on the public stock exchanges. In exchange, the venture fund earns a share of the company's future earnings, if any, and its partners divide the proceeds according to their participation in the fund. Venture Fund Risk and ReturnVenture funds represent a high-risk, high-return investment for their partners. Many companies in which a venture fund invests do not yet have sales or profits, and some stand for only a concept or invention that has not yet been brought to market. Members of a venture fund may take an active role in the operation of the new company, taking seats on its board of directors or providing active advice and guidance. Once the company makes an initial public offering, the venture fund sells its stake and divides the proceeds to its own partners.
How long will credit injuries remain on your credit report?
it takes 1 sec
What types of mutual fund are there?
I have an open-end fund which means that, at the end of every day, the fund issues new shares to investors and buys back shares from investors wishing to leave the fund. Equity funds, which consist mainly of stock investments, are the most common type of mutual fund. Equity funds hold 50 percent of all amounts invested in mutual funds in the United States. A relatively recent innovation, the exchange-traded fund or ETF, is often structured as an open-end investment company. ETFs combine characteristics of both mutual funds and closed-end funds. ETFs are traded throughout the day on a stock exchange, just like closed-end funds, but at prices generally approximating the ETF's net asset value. Bond Funds - which can include term funds, municipal bonds and high-yield bond. Money Market Funds - least risk, as well as lower rates of return. Funds of Funds - mutual funds which invest in other underlying mutual funds. Hedge Funds - in the United States are pooled investment funds with loose SEC regulatio
Who does sarbanes-oxley apply to?
The Sarbanes-Oxley Act of 2002 applies to publically held companies (generally, companies that have undergone an IPO or are traded on a public exchange), and is enforced under the oversight of the SEC. The Sarbanes-Oxley Act does not apply to privately held companies or companies that do not have to report their earnings or financial statements publically.
What are the provisions of the Securities Exchange Act of 1934?
This act created the Securities Exchange Commission (SEC) and required any brokers or dealers engaged in the exchange of securities to report these transactions to the SEC
Where can you find Apple Inc income statements?
Apple post their financial details such as Stock info, Earnings, SEC Filings etc. on their website. (See links below)
Can you sue a stock broker for with holding stock that is to go to an estate?
Report the stockbroker to the SEC (securities and exchange commission)
When can a SEC settlement agreement be overturned?
The SEC stands for the Security Exchange Commission. Most if not all public US based corporations must file quarterly reports of various types during the course of their fiscal years. One part of a quarterly report informs the SEC and by doing so the public about so-called insider trading transactions. Should the corporation make an error in the report, the SEC may make an inquiry as to why the report was inaccurate. In order to have the SEC & the public to have the corrected report issued within a set period of time & thus making a settlement that is agreed upon by the corporation & the SEC. The settlement can be postponed with regards to the deadline for the new accurate report because of unusual circumstances such as: It is determined by the corporation's outside accounting firm and new evidence presented by the corporation that the "error" was in fact not an error at all, but a problem in proofreading the submitted report. That all company insiders did in fact report all insider trade. In this case the time set to issue a new report is waived and a brief statement issued by the corporation & the outside accounting firm showing a small error is likely to be sufficient rather than taking the time to re-investigate all the trades. Thus the SEC will happily agree to the offer of a brief correcting statement. The corporation cannot make a habit of producing questionable reports or there is now a problem.
