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What distinguishes first tier security market from second tier security market?
The first tier security market, often referred to as the primary market, involves the issuance and initial sale of securities directly from companies to investors, typically through initial public offerings (IPOs). In contrast, the second tier security market, or secondary market, involves the buying and selling of existing securities among investors, without the direct involvement of the issuing companies. The first tier market is characterized by higher regulatory scrutiny and typically features larger, more established companies, while the second tier may include smaller firms and a wider variety of investment opportunities. Additionally, liquidity and price volatility can differ significantly between the two markets.
Why do service firms hesitate to offer a service guarantee?
operational cost reduction more speed of service staff ay be new, lack of experience time of service -copyright belongs to Mohmmadsoaib
What are the three types of mergers?
1)Horizontal mergers: The consolidation of firms that are direct rivals--i.e. firms that sell substitutable products or services within the same geographic market. 2)Vertical Mergers: The consolidation of firms that have potential or actual buyer-seller relationships. 3)Conglomerate Mergers: Consolidated firms may share marketing and distribution channels and perhaps production processes; or they may be wholly unrelated. 4)Congeneric mergers occur where two merging firms are in the same general industry, but they have no mutual buyer/customer or supplier relationship, such as a merger between a bank and a leasing company. Example: Prudential's acquisition of Bache & Company.
Historically products markets were dominated by large firms and service markets by small firms This seems to have reversed itself somewhat in recent years what factors might be at work?
5Select an Acquisition/merger Or Alliance and Critically Evaluate the Motives behind the Making of Deal. Describe How The Deal Contributed To Creating And/or Sustaining Competitive Advantage. What Do You Believe To Be The Difficulties In Achieving The Objectives Of The Deal?4(a)Historically product markets were dominated by large firms and service markets by small firms this seems to have reversed itself somewhat in recent years what factors might be at work?4(b) Suppose You Wanted To Quantify A Firm's Learning Experience. One Possible Measure Is The Firm's Cumulative Output. What Are Advantages And Disadvantages Of This Measure? Can You Suggest A Superior Alternative Measure?
Which group of people do firms focus their marketing effort on?
Firms typically focus their marketing efforts on target audiences that include specific demographics, psychographics, and behavioral traits. This can encompass age groups, income levels, lifestyles, and purchasing behaviors that align with their products or services. By understanding and segmenting their target market, firms can tailor their messaging and strategies to effectively engage and convert potential customers. Ultimately, the goal is to maximize relevance and impact to drive sales and brand loyalty.
What was the Immediate purpose of federal securities act?
The Securities Exchange Commission (SEC ) was designed to protect investors. It enforces regulations on securities firms to make sure there are no regulations that are not being carried out correctly for the benefit of investors.
What are the major functions of securities firms?
Securities firms facilitate the buying and selling of financial securities such as stocks, bonds, and derivatives. They provide investment advice, underwriting services for new securities issuance, brokerage services for investors, and market-making activities to provide liquidity to financial markets. Additionally, securities firms often offer research and advisory services to help clients make informed investment decisions.
Where do unlisted securities trade and how can investors access these markets?
Unlisted securities trade in over-the-counter (OTC) markets, where they are not listed on major stock exchanges. Investors can access these markets through brokerage firms that specialize in OTC trading or through electronic trading platforms.
What measure was taken to regulate the securities industry in the wake of the stock market crash of 1929?
In 1934 Congress established the Securities and Exchange Commission (SEC) to protect investors against fraud and mismanagement by securities firms and other investment entities.
Securities firms in Jackson MS?
Jackson, MS, is home to several securities firms that offer a range of financial services, including investment management, financial planning, and brokerage services. Notable firms in the area may include local branches of larger national companies as well as independent advisory firms. These firms cater to individual investors, businesses, and institutions, providing expertise in navigating the financial markets. For specific firms and services, it's advisable to research or consult local financial directories.
What protections do the nasd provide to investors?
The National Association of Securities Dealers (NASD), now part of the Financial Industry Regulatory Authority (FINRA), provides several protections for investors. It establishes rules and regulations for member firms to ensure fair practices and transparency in securities transactions. Additionally, it offers a dispute resolution process through arbitration and mediation, helping investors resolve conflicts with brokerage firms. The NASD also promotes investor education and awareness to empower individuals in making informed investment decisions.
Definition of professional management?
Professional management in finances is when financial professionals invest, make returns, and watch securities for an investment entity. These often include firms, institutions, and individual investors.
What is the jurisdiction of the SEC?
The U.S. Securities and Exchange Commission (SEC) has jurisdiction over securities markets and the regulation of securities transactions in the United States. Its primary responsibilities include enforcing federal securities laws, overseeing securities exchanges, and regulating securities firms, brokers, and investment advisors. The SEC aims to protect investors, maintain fair and efficient markets, and facilitate capital formation. Additionally, it has the authority to investigate and prosecute violations of securities laws.
What is prime brokerage?
Prime brokerage is the generic name for a bundled package of services offered by investment banks and securities firms to hedge funds and other professional investors needing the ability to borrow securities and cash to be able to invest on a netted basis and achieve an absolute return.
What are the benefits of Clayton lawyers?
Clayton Lawyers are beneficial to investors with a dispute against brokerage firms and issuers of securities. They represent those with many varying disputes and also represent employees with contractual disputes with their employer.
Enjoy A Career In Finance As A Securities Broker?
A securities broker or stock broker is a registered professional who buys and sells securities on behalf of clients. A security is a financial instrument such as a stock or bond. Brokers usually charge fees for their services. Securities brokers advise everyday people on the best way to invest their money. As such, they have a responsibility to their clients to behave in an ethical and responsible manner and to handle their money appropriately. Securities brokers often undergo intense training and examinations before being set loose to earn their own way. The most important aspect of a broker’s job is finding and retaining clients. If a broker has no clients, they make no money and they have no job. Thus, a broker’s primary task is to sell themselves or their firms to potential clients. In fact, the internship program at major firms consists mostly of cold calling potential clients and selling them on becoming a client of themselves or the firm they work for. The actual work of brokers is to buy and sell securities on the open market for their clients. A broker’s client list can be made up of retail investors with small amounts of money to invest, or institutional investors with large amounts of money to invest, or a combination of the two. Investors turn to brokers to place and carry out their trade orders; the largest brokerage firms have billions or even trillions of dollars of assets under management, and they have clients from all over the world. A career as a securities broker can be fulfilling and very satisfying if they enjoy working with different clients and possess mathematical and analytical abilities and skills. Finance involves understanding the meaning of multiple sets of numbers, and of being able to act based upon careful analysis of the data and not merely upon emotion or even the profit motive. Securities brokers work usually work in brokerage firms, since it is the firm that has access to the various exchanges in which securities are bought and sold.
Which government agency oversees stocks and investments?
The U.S. Securities and Exchange Commission (SEC) is the primary government agency that oversees stocks and investments in the United States. Its main responsibilities include protecting investors, maintaining fair and efficient markets, and facilitating capital formation. The SEC enforces securities laws and regulates the securities industry, including stock exchanges and brokerage firms.
