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What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
 
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Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operations of the industry. In practice, the SEC delegates most of its enforcement and rulemaking authority to FINRA. In fact, all trading firms not regulated by other SROs must register as a member of FINRA. Individuals trading securities must pass exams administered by FINRA to become registered representatives.[11][12] The Investment Management Division oversees registered investment companies, which include mutual funds, as well as registered investment advisors. These entities are subject to extensive regulation under various federals securities laws.[13] The Division of Investment Management administers various federal securities laws, in particular the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include:[14] assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff; responding to no-action requests and requests for exemptive relief; reviewing investment company and investment adviser filings; assisting the Commission in enforcement matters involving investment companies and advisers; and advising the Commission on adapting SEC rules to new circumstances. The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. The SEC generally conducts investigations in private. The SEC's staff may seek voluntary production of documents and testimony, or may seek a formal order of investigation from the SEC, which allows the staff to compel the production of documents and witness testimony. The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.[15] Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the Commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC. This office has played a role in such areas as working with the Financial Accounting Standards Board to develop Generally Accepted Accounting Principles, the Public Company Accounting Oversight Board in developing audit requirements, and the International Accounting Standards Board in advancing the development of International Financial Reporting Standards; The Office of Compliance, Inspections and Examinations, which inspects broker-dealers, stock exchanges, credit rating agencies, registered investment companies, including both closed-end and open-end (mutual funds) investment companies, money funds. and Registered Investment Advisors; The Office of International Affairs, which represents the SEC abroad and which negotiates international enforcement information-sharing agreements, develops the SEC's international regulatory policies in areas such as mutual recognition, and helps develop international regulatory standards through organizations such as the International Organization of Securities Commissions and the Financial Stability Forum; The Office of Investor Education and Advocacy, which helps educate the public about securities markets and warns investors of fraud and stock market scams; The Office of Economic Analysis, which helps the SEC estimate the economic costs and benefits of its various rules and regulations; and The Office of Information Technology, which supports the Commission and staff in information technology, including application development, infrastructure operations. and engineering, user support, IT program management, capital planning, security, and enterprise architecture. The Inspector General. The SEC announced in January 2013 that it had named Carl Hoecker the new inspector general.[16][17] He has a staff of 22. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 6539 Way Back
What does The Securities and Exchange Commission do?
 
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Any questions? The Securities and Exchange Commission is a government entity created to regulate the trading in securities such as stocks and bonds. The "SEC" as it is known was created after the Great Depression to protect the public by regulating the trading in stocks and bonds. The goal is for the average investor, Joe Q, to have access to the same information as the executives who oversee or work for the public companies that are traded on the exchanges. All public companies must file their results with the SEC on a periodic basis, usually each quarter so that the public has access to the same information as the company executives. Also, the SEC makes sure that the "insiders" who work for the companies, do not have an unfair advantage to invest or trade in securities based on "inside" information that is not yet available to the public. So, the SEC is like an investment police force!
Views: 34774 FinLit
What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)
 
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Prior to the enactment of the federal securities laws and the creation of the SEC, there existed so-called blue sky laws. They were enacted and enforced at the state level, and regulated the offering and sale of securities to protect the public from fraud. Though the specific provisions of these laws varied among states, they all required the registration of all securities offerings and sales, as well as of every U.S. stockbroker and brokerage firm.[4] However, these blue sky laws were generally found to be ineffective. For example, the Investment Bankers Association told its members as early as 1915 that they could "ignore" blue sky laws by making securities offerings across state lines through the mail.[5] After holding hearings on abuses on interstate frauds (commonly known as the Pecora Commission), Congress passed the Securities Act of 1933 (15 U.S.C. § 77a), which regulates interstate sales of securities (original issues) at the federal level. The subsequent Securities Exchange Act of 1934 (15 U.S.C. § 78d) regulates sales of securities in the secondary market. Section 4 of the 1934 act created the U.S. Securities and Exchange Commission to enforce the federal securities laws; both laws are considered parts of Franklin D. Roosevelt's New Deal raft of legislation. The Securities Act of 1933 is also known as the "Truth in Securities Act" and the "Federal Securities Act”, or just the "1933 Act." Its goal was to increase public trust in the capital markets by requiring uniform disclosure of information about public securities offerings. The primary drafters of 1933 Act were Huston Thompson, a former Federal Trade Commission (FTC) chairman, and Walter Miller and Ollie Butler, two attorneys in the Commerce Department's Foreign Service Division, with input from Supreme Court Justice Louis Brandeis. For the first year of the law's enactment, the enforcement of the statute rested with the Federal Trade Commission, but this power was transferred to the SEC following its creation in 1934. (Interestingly, the first, rejected draft of the Securities Act written by Samuel Untermyer vested these powers in the U.S. Post Office, because Untermyer believed that only by vesting enforcement powers with the postal service could the constitutionality of the act be assured.[5]) The law requires that issuing companies register distributions of securities with the SEC prior to interstate sales of these securities, so that investors may have access to basic financial information about issuing companies and risks involved in investing in the securities in question. Since 1994, most registration statements (and associated materials) filed with the SEC can be accessed via the SEC’s online system, EDGAR.[6] The Securities Exchange Act of 1934 is also known as "the Exchange Act" or "the 1934 Act". This act regulates secondary trading between individuals and companies which are often unrelated to the original issuers of securities. Entities under the SEC’s authority include securities exchanges with physical trading floors such as the New York Stock Exchange (NYSE), self-regulatory organizations (SROs) such as the National Association of Securities Dealers (NASD), the Municipal Securities Rulemaking Board (MSRB), online trading platforms such as the NASDAQ Stock Market (NASDAQ) and alternative trading systems (ATSs), and any other persons (e.g., securities brokers) engaged in transactions for the accounts of others.[7] President Roosevelt appointed Joseph P. Kennedy, Sr., father of President John F. Kennedy, to serve as the first Chairman of the SEC, along with James M. Landis (one of the architects of the 1934 Act and other New Deal legislation) and Ferdinand Pecora (Chief Counsel to the United States Senate Committee on Banking and Currency during its investigation of Wall Street banking and stock brokerage practices). Other prominent SEC commissioners and chairmen include William O. Douglas (who went on to be a U.S. Supreme Court justice), Jerome Frank (one of the leaders of the legal realism movement), and William J. Casey (who later headed the Central Intelligence Agency under President Ronald Reagan). https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 1780 Remember This
Regulation of the Stock Market and the Securities and Exchange Commission SEC
 
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Gennecho Finance In this video we will go over Regulation of the Stock Market and the Securities and Exchange Commission SEC Personal Finance: Turning Money into Wealth by Arthur J. Keown http://amzn.to/2B3ROcR Sign up to Gennecho's weekly newsletter! http://gennechofinance.gr8.com/ Subscribe to our YouTube Channel Follow us on Twitter @GennechoFinance Like us on Facebook @gennechofinance Follow us on Instagram gennechofinance
Views: 90 Gennecho Learning
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
 
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The Securities and Exchange Commission is a regulatory group for financial advisers. Learn about the Securities and Exchange Commission, or SEC, with information from a financial planner in this free video on personal finance and the stock market. Expert: Chris Markowski Contact: www.watchdogonwallstreet.com Bio: Christopher Markowski is the founder of the financial planning firm, Markowski Investments. Filmmaker: Christopher Rokosz
Views: 2827 eHow
SEBI (SECURITIES AND EXCHANGE BOARD OF INDIA)
 
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Preparing for competition ??? watch brief video of SEBI. SOME MORE HELPFUL VIDEOS (MUST WATCH) : PANCHAYATI RAJ AND MUNICIPALITY IN INDIA https://youtu.be/-IbnQkJBH8c :UNIFIED PAYMENT INTERFACE || BHARAT INTERFACE FOR MONEY https://youtu.be/AcK1JpLwS9I : NATIONAL AUTOMATED CLEARING HOUSE (NACH) || NATIONAL FINANCIAL SWITCH (NFS) https://youtu.be/EQmu0ER-sz8 : NATIONAL PAYMENTS CORPORATION OF INDIA https://youtu.be/rksejwre_Q0 : THE INDIA MYANMAR LAND BORDER CROSSING AGREEMENT || TRILATERAL HIGHWAY || KALADAN TRANSPORT PROJECT https://youtu.be/CSCgDWXk9nc : LEMOA, COMCASA AND BECA https://youtu.be/lLdouE_EqdU : QUEEN ELIZABETH APPROVES BREXIT LAW.(ASSENT TO PM THERESA MAY) https://youtu.be/n8PdX9Gy9RY : PRESIDENT OF INDIA & GOVERNOR OF STATES https://youtu.be/qnkctRCEqhE : FINANCE COMMISSION OF INDIA https://youtu.be/BH3La6yFM00 : SHORT TRICK FOR SQUARE ROOT AND CUBE ROOT https://youtu.be/7KeHZZL2T08 : SHANGHAI COOPERATION ORGANISATION https://youtu.be/Js66O3v_sTA : COLLEGIUM SYSTEM https://youtu.be/MrwuNb56lcc : ATTORNEY GENERAL OF INDIA https://youtu.be/xFJt7S3LC9k : WORLD TRADE ORGANIZATION https://youtu.be/xXuYcKCIe5k : OPEC https://youtu.be/BMcjl4hYxJA : PLANNING IN INDIA (FIVE YEAR PLAN ) https://youtu.be/sDAiOFiwYrY : SCHEDULES OF INDIAN CONSTITUTION https://youtu.be/PFxX_BtUzjI : INSURANCE REGULATORY AND DEVELOPMENT AUTHORITY OF INDIA (IRDAI) https://youtu.be/xojTrXb4qTg : NOBEL PRIZE https://youtu.be/QWllevoNX_s : SEBI (SECURITIES AND EXCHANGE BOARD OF INDIA) https://youtu.be/kWOmKgmRGtE : LETS DO CALCULATION EASY https://youtu.be/1e3ZrKtfr9U : EFT, NEFT, RTGS, IMPS? https://youtu.be/FuxSISy919o : NITI AYOG https://youtu.be/GfDH28FAytk : G4 G7 G20 COUNTRIES https://youtu.be/RnmUjgBQzT8 : SAARC AND BIMSTEC https://youtu.be/60hoPSd_KOU : FDI & FII https://youtu.be/6It4mvxmcmo : INDUS WATER TREATY https://youtu.be/KqeI5mqc7ww : RBI AND ITS FUNCTION https://youtu.be/rY6nbTxzLDs : BRICS https://youtu.be/1iKe8bCcw88 : CPEC https://youtu.be/tbjm48jv8rg : ISRO https://youtu.be/cVD9WblyYWs : MTCR https://youtu.be/wq3JxLrvoZM : NPT & NSG https://youtu.be/0QMnJHePZCE : NITI FORUM FOR NORTH EAST. https://youtu.be/V8TQ4lN7k6w : UNITED NATIONS (PART-1) https://youtu.be/NptpOG93IIY : UNITED NATIONS (PART-2) https://youtu.be/5cRrkTyQd4Q : HOW INDIAN RUPEE VALUE IS DETERMINED? https://youtu.be/K0oNbyjdEMc : WORLD BODIES (G4,G7,G20 NATIONS) https://youtu.be/RnmUjgBQzT8
Views: 47910 Deep Talks
The Securities Exchange Commission: Priorities Going Forward
 
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September 5, 2017 Hosted by: the Institute for Corporate Governance and Finance, the Program on Corporate Compliance and Enforcement, and the Pollack Center Panelists: Jay Clayton, Chairman, Securities and Exchange Commission Stephanie Avakian, Co-Director, Division of Enforcement Steven Pekin, Co-Director, Division of Enforcement Peter Driscoll, Acting Director, Office of Compliance Moderators: Jennifer Arlen, Norma Z. Paige Professor of Law, Co-Director, Program on Corporate Compliance and Enforcement Edward Rock, Professor of Law, Director, Institute for Corporate Governance and Finance
Views: 787 NYU School of Law
Can I Use Regulation S To Raise Capital Outside The US?
 
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In this video, I discuss the application of Regulation S when raising capital with a private placement memorandum from non-US investors or investors residing outside the United States. Regulation S can be used in conjunction with Regulation D to obtain the objective of raising capital inside and outside the United States. There are some very important guidelines you must adhere to in order to stay compliant and I go over those in this video. If you are looking to raise money from outside the US, I can help you meet all the necessary requirements imposed by the Securities Exchange Commission. As the PPM Attorney, I specialize in custom Private Placement Memorandums that fit your specific needs. I offer a free 30 minute consultation to discuss your venture and answer any questions you might have in order to move forward with raising capital. Feel free to reach out to me as listed below. Related Resources: EB5 Investment Offerings - What You Should Know https://youtu.be/fSPZ3jN1Qz4 What Is Considered General Solicitation - Is It Allowed? https://youtu.be/k_n2GoPGAUk Why You Should Consider The PPM Attorney https://youtu.be/NcNF-8osLGc If you find my content valuable, please help me out by giving me a "Thumbs Up" and "Subscribing". Thanks for watching! :-) Darin Mangum Phone: (281) 203-0194 E-mail: [email protected] Website: ThePPMAttorney.com FOR GENERAL INFORMATION ONLY. NOT TO BE CONSTRUED AS LEGAL ADVICE. I'M NOT YOUR ATTORNEY UNLESS A DULY EXECUTED ENGAGEMENT LETTER EXISTS BETWEEN US. (c) 2019 DARIN H. MANGUM PLLC.
Views: 88 Darin Mangum
The SEC and ICO Regulation
 
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This is a two-part series covering the regulatory aspects of cryptoassets. To give some background, two of the major federal regulatory agencies in this space are the SEC and CFTC. Broadly speaking, the SEC regulates ICOs, and the CFTC regulates virtual currencies. We recently saw the Chairman for each of the two agencies testify before the Senate—which means that lawmakers are getting serious about regulating this space. In today’s episode, I want to focus on the SEC- what they do, what they have power over, and how that relates to ICOs.  The transcript of this video can be found here: https://talkblockchaintome.com/2018/02/27/the-sec-and-ico-regulation/ *** My other episodes are linked below: What is Blockchain Technology? Part 1: https://youtu.be/QfMiVWtjoEU Part 2: https://youtu.be/CR6h3kPBgKw "What is Ethereum?" https://youtu.be/4LR_4tE5pCk "What is Bitcoin?" https://youtu.be/EJPnjw4p-l8 "What is an ICO?" https://youtu.be/Vnfz35v1huU “What the Fork?!” https://youtu.be/uPd2b-47slI My Blockchain blog: https://talkblockchaintome.com/ Find me on twitter: https://twitter.com/BlockchainToMe
Views: 4776 Talk Blockchain to Me
Securities and Exchange Commision SEC or Self Regulation?
 
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The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. If they have failed in the past, why should they be granted more power to fail in the future?
Views: 137 scottab140
Introduction to The Securities And Exchange Commission of Pakistan (SECP)
 
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This video production is presented by London View Chambers, a set of Barristers' Chambers that is headquartered in London. The Barristers at London View Chambers specialise, amongst other areas of law, in financial regulation and compliance in European, North American and Asian continents. The Securities and Exchange Commission of Pakistan is the regulator of corporate sector, capital markets, insurance sector and Non-bank Finance Corporations (NBFCs) in Pakistan. SECP is a large organisation with an array of departments and has an army of staff. It is getting even bigger, more efficient and more organised. This video explains SECP's structure, the hierarchy of its officers, the working of various departments and their inter-relationship. A production of LONDON ART & MEDIA
Views: 4748 London View Chambers
What Does the Securities and Exchange Commission Regulate? Priorities of the SEC
 
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Under Cox's leadership, the SEC on September 17 and 18, 2008, imposed a variety of both permanent and emergency restrictions on short selling in response to the liquidity crisis. Abusive naked short selling, in which the seller intentionally fails to deliver the shares sold short in time for settlement, was banned outright, an exception for options market makers that had been in place for several years was eliminated,[94] and a new anti-fraud provision, Rule 10b-21, was adopted to give specific enforcement authority in such cases.[95] In September 2008, short selling of 799 financial stocks was temporarily curtailed[93] in response to rumors accompanied by heightened short selling activity in the shares of major financial institutions. On September 26, 2008, Cox ended the 2004 program for voluntary regulation of investment bank holding companies, begun under SEC Chairman William Donaldson and then-Director of Market Regulation (later SEC Commissioner) Annette Nazareth. The program "was fundamentally flawed from the beginning, because investment banks could opt in or out of supervision voluntarily," Cox said.[96] A critical report by the SEC inspector general that evaluated the program in light of the Bear Stearns near-failure in March 2008 found that while "Bear Stearns was compliant with the capital and liquidity requirements" at the time of its acquisition, "its collapse raises serious questions about the adequacy of these requirements." However, according to the Inspector General, his report "did not include a determination of the cause of Bear Stearns' collapse" or determine "whether any of these issues directly contributed to Bear Stearns' collapse." On that subject, the report stated, "we have no evidence linking these significant deficiencies with the cause of Bear Stearns' collapse."[97][98] Cox criticized the oversight program on the ground that because of its voluntary nature and the SEC's limited statutory authority, the agency could not force changes in the hundreds of unregulated subsidiaries of large investment banks such as Goldman Sachs, Morgan Stanley, Merrill Lynch, Lehman Brothers and Bear Stearns as bank regulators could do with bank holding companies. In testimony before Congress on several occasions in 2008, he asked for statutory authority to regulate investment bank holding companies.[99] In addition to the fact that the Gramm-Leach-Bliley Act did not give the SEC the authority to regulate large investment bank holding companies, Cox noted that investors were vulnerable to other regulatory gaps such as the fact that the $60 trillion market for credit default swaps was then completely unregulated. "Neither the SEC nor any regulator has authority even to require minimum disclosure", he said.[96] In testimony and public statements he urged Congress to enact remedial legislation.[100] Cox said that during the buildup of the credit crisis, when the credit rating agencies were still unregulated, they gave top credit ratings to financial instruments which packaged risky loans and spread the negative impacts of the credit crisis more broadly throughout the markets.[101] Following the first-time SEC registration of the credit rating agencies in September 2007 under newly enacted legislative authority, he ordered a 10-month examination of the three major rating agencies that uncovered significant weaknesses in their ratings practices for mortgage-backed securities and that called into question the impartiality of their ratings. The results were reported to Congress in July 2008.[102] The SEC immediately commenced a rulemaking which concluded on December 3, 2008 with approval of a series of measures to regulate the conflicts of interests, disclosures, internal policies, and business practices of credit rating agencies. The regulations were intended to ensure that firms provide more meaningful ratings and greater disclosure to investors concerning collateralized debt obligations and residential mortgage-backed securities. https://en.wikipedia.org/wiki/Christopher_Cox
Views: 220 Way Back
SEC & Crowdfunding Rules - Regulations, Laws Consideration
 
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http://crowdfundbeat.com/ Research on Reg CF, and Regulation A+ Marty Tate - Brian Korn - Amy Wan Brian Korn is a corporate and securities attorney at the law firm Manatt, Phelps & Phillips, LLP, Marty counsels his clients on various forms of structured finance, securities matters, private and public offerings, SEC reporting, 1934 and 1940 Act compliance, mergers and acquisitions, real estate financings, Amy Wan, Esq., CIPP/US is Partner at Trowbridge Sidoti LLP (CrowdfundingLawyers.net), where she advises on syndication and crowdfunding law. CrowdFund Beat Media International is an online source of news, information, events and resources for crowdfunding. We e-publish latest news and expert view related to the crowdfunding industry in the USA, Canada, UK, Italy, Germany, France, Holland and coming soon in Spain, Australia, Japan and China on a daily basis.
Views: 576 Fintech World
What’s the Significance of Filing Form D with the SEC (or not)?
 
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Securities Attorney Darin Mangum ( thePPMattorney.com ) discusses the significance of filing Form D with the SEC and the impact it can have on claiming exemptions from registration under Regulation D of the Securities Act of 1933, as amended. If you have questions, please feel free to call me directly as listed below. Phone: (281) 203-0194 E-mail: [email protected] Website: ThePPMAttorney.com FOR GENERAL INFORMATION ONLY. NOT TO BE CONSTRUED AS LEGAL ADVICE. I'M NOT YOUR ATTORNEY UNLESS A DULY EXECUTED ENGAGEMENT LETTER EXISTS BETWEEN US. (c) 2017 DARIN H. MANGUM PLLC.
Views: 1094 Darin Mangum
What is the Securities and Exchange Commission?
 
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http://thebusinessprofessor.com/what-is-the-securities-and-exchange-commission/ What is the Securities and Exchange Commission?
Securities Laws And Regulations
 
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It is getting easier for small time investors to purchase stocks in the United States. Whether you are a small investor or a large investor, you are covered by federal securities laws. There are many important federal securities laws that govern all aspects of securities trading. There are also regulatory agencies such as the Securities and Exchange Commission (SEC) that issue regulations, investigate and make decisions regarding violations of security law. To learn more about securities laws and regulations visit http://www.lawinfo.com/securities.html
Views: 335 lawinfo
Security Token Essentials : SEC compliance rules
 
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Hi, I am Dave Young from Cryptovest with another informational video on Security Tokens and what comes next. Before we go looking deeper into the many parts of the upcoming security market that looks to explode, to understand the players, the markets, the trends, it is quite essential to understand the basic SEC compliance rules and classifications . It is easy to take the next new platform’s whitepaper, telling you how easy they will make compliance but to understand the market, you need to know the underlying rules or the safe harbors. What are the four categories that a Security Token can choose from ? Regulation D - making the offering exempt from registration Regulation S - excluding the offering from US Regulations A+ - get registered with SEC for up to $ 50 million Regulation Crowd Fund - which is capped at $ 1.07 million And if you want you could have a hybrid of D + S for US and other markets. Regulation D - 504 or 506c - allowing you to talk to US investors without SEC registration and approval 504 - gives you exemption from SEC registration as long as you keep the annual figure raised below $ 5 million. So not too relevant for the new Securities Market on a grand scale. Investors will also be locked in for a minimum of 1 year. 506c - an exemption if you only deal with accredited investors which in simple terms means high value/high earning individuals worth over a million dollars. Again, investors are locked in for a minimum of 1 year. Even though the above might get SEC off your back, don’t forget that any state authorities might also have their own specific rules and come gunning for you, even if you are not registered there. If you take a look at the recent black comedy with Kraken Exchange calling New York State authorities a jilted lover, as they were still chasing them even after they deregistered and moved away, you can get a feel of the problems of zealous state regulators. Regulation S - don’t deal with Americans! If you have invested in ICOs, you are probably familiar with this, with the stringent KYC procedures to back it up but also you need to be showing active blocking of channels reaching US, ip filters etc. Of course if you chosing this option for Security Tokens you would need to pick a jurisdiction with good regulation or no-one is going to gamble their money just to get those elusive advantages. Regulation A+ - long procedure up to $ 50 million This is a lengthy procedure that requires a two year IPO-level CPA audit, many ICOs have previously applied for this but not many have achieved it. If achieved the tokens are not locked down for a year period. At present Prometheum are applying for approval for a $ 50 million ICO to launch a ICO trading platform and Gab are applying for permission to run a STO under the framework for a social network offering, also in the system is dexCoin (a decentralized competitor to uber), Mandala, a digital asset exchange, So hopefully you understand the basics a bit more and what a minefield dealing with regulations can be compared to the looser format of ICOs that has encouraged rapid growth, some explosive returns and many scams.
Views: 507 Cryptovest
Regulation D (SEC)
 
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In the United States under the Securities Act of 1933, any offer to sell securities must either be registered with the United States Securities and Exchange Commission (SEC) or meet certain qualifications to exempt them from such registration. Regulation D (or Reg D) contains the rules providing exemptions from the registration requirements, allowing some companies to offer and sell their securities without having to register the securities with the SEC. A Regulation D offering is intended to make access to the capital markets possible for small companies that could not otherwise bear the costs of a normal SEC registration. Reg D may also refer to an investment strategy, mostly associated with hedge funds, based upon the same regulation. The regulation is found under Title 17 of the Code of Federal Regulations, part 230, Sections 501 through 508. The legal citation is 17 C.F.R. §230.501 et seq. On July 10th, 2013, the SEC issued new final regulations allowing public advertising and solicitation of Regulation D offers to accredited investors. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 4770 Audiopedia
Keynote Speakers: Securities and Exchange Commission
 
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Nadia Brannon - Member at Distributed Ledger Technology Working Group, SEC Nadia is an econometrician by training and is a certified fraud examiner. Prior to SEC, she was an executive director with Ernst & Young in San Francisco where she led forensic data analytics practice. Zachary Fallon - Special Counsel in the Office of Small Business Policy, SEC Zachary joined the SEC in 2009 as an Attorney-Advisor in the Office of the General Counsel, and most recently served as Senior Special Counsel to the Director of the Division of Corporation Finance. Victor Hong - Senior Counsel in the Division of Enforcement, SEC Victor has extensive experience investigating and litigating potential securities law violations. Beforehand, he was in private practice with a large New York law firm and a law clerk on the Second Circuit Court of Appeals. Scott Walker - Attorney-Advisor in the Office of Compliance Inspections and Examinations, and member of Distributed Ledger Technology Working Group, SEC Scott's primary focus is on Investment Advisers and Investment Companies. Prior to his work as a regulator, Scott was a Corporate Counsel at Barclays and BlackRock.
Update to all Investment Company: KAPA, Rigen, AlamCo and EverArm | SEC Approves CrowdFunding
 
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Breaking News from SEC! Crowdfunding - raising funds/capital from the investing public Rules on Crowdfunding Highlights (SEC MC#14 S 2019): ✔Encourage investment/public participation in the capital market ✔Registration with SEC and compliance with the set of standards of this rules ✔Ensure investor protection, public interest, market integrity, and transparency 🔅🔅🔅 SEC MEMO CIRCULAR No. 14 series of 2019 "RULES AND REGULATIONS GOVERNING CROWD FUNDING (CF) Published July 09, 2019 02:37 PM By TED CORDERO,GMA News (Effectivity: July 25, 2019) The Securities and Exchange Commission (SEC) said Tuesday it has issued the rules and regulations governing “crowdfunding” activities. This will allow startups and small and medium-sized enterprises (SMEs) to have greater access to funding and at the same time provide the public with more investment options. The Rules and Regulations Governing Crowdfunding was approved by the SEC en banc on July 4. The rules were in accordance with Republic Act No. 8799, or the Securities Regulation Code (SRC), and international best practices and standards. The SEC defines crowdfunding as fundraising typically conducted through an online platform and usually for startups and SMEs. Crowdfunding involves three parties: the entrepreneur or project initiatorthe supporters or those willing to fund the entrepreneur’s business idea or projectthe platform or moderating organization that brings the entrepreneur and supporters together to realize the business idea or project “Supporters make their contributions or donations through online platforms. Thereafter, the platforms coordinate and administer the fundraising activities,” the SEC said. The corporate regulator noted four forms of crowdfunding: Donation-based in which Individuals pool their resources to support a charitable causeReward-based in which Individuals give money to a company in return for a “reward,” usually a product produced by the companyLending-based in which Individuals lend money to a company and receive the company’s legally-binding commitment to repay the loan at pre-determined time intervals and interest rateEquity-based in which Individuals invest in shares sold by a company and receive a share of the profits in the form of a dividend or distribution, subject to the company’s discretion “Reward-based and donation-based crowdfunding are two prevalent forms of community crowdfunding, which are not subject to securities regulation as they do..... Source: http://www.sec.gov.ph/wp-content/uploads/2019/07/2019MCNo14-1.pdf
Views: 73786 Movin JaVoo
Multifamily Syndication - SEC Regulations on Reg A vs Reg D
 
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Topic: Multifamily Syndication - SEC Regulations on Reg A vs Reg D NOTE: This is a virtual event done via live multifamily syndication webinar. In this virtual meetup you will learn the difference between SEC Regulation A and Regulation D including 506(b) vs 506(c) registrations. Speakers: Dan Handford and Jillian Sidoti, CrowdfundingLawyers.net Length: 30-45min with Q&A at the end Topics covered: - Am I really selling a security when I bring on investors? - What is the max number of investors before needing to register with SEC? - Can I advertise to people that I don't know? - Difference between SEC Reg A and Reg D - Nuisances between 506(b) and 506(c) - Examples of each regulation - Cases on people who have gone to jail for not following properly - and much more. Visit www.MultifamilyInvestorNation.com to join our Facebook group.
Perspectives on securities regulation: A conversation with SEC Chairman Jay Clayton
 
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On Thursday, September 28, the Center on Regulation and Markets at Brookings hosted an event exploring the opportunities and challenges facing securities markets ten years after the financial crisis. https://www.brookings.edu/events/perspectives-on-securities-regulation/ (transcript available) Subscribe! http://www.youtube.com/subscription_center?add_user=BrookingsInstitution Follow Brookings on social media! Facebook: http://www.Facebook.com/Brookings Twitter: http://www.twitter.com/BrookingsInst Instagram: http://www.Instagram.com/brookingsinst LinkedIn: http://www.linkedin.com/com/company/the-brookings-institution
Views: 1043 Brookings Institution
What is Securities & Exchange Board of India (Venture Capital Funds) Regulations 1996?
 
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The Securities & Exchange Board of India (venture capital funds) Regulations 1996 ("VCF Regulations") issued by the Securities and Exchange Board of India ("SEBI") are a comprehensive set of laws to be followed by the venture capital funds in India. From the registration of venture capital funds to the action to be taken in case of default, the regulation has been divided in VI chapters.
Views: 1991 Arthveda Co
The Only Thing Working At The SEC Is The Revolving Door
 
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"A lawyer from America's Securities and Exchange Commission (SEC) has launched a broadside against his bosses during a leaving speech, accusing them of being too soft on wayward Wall Street chiefs in the wake of the 2008 credit crisis. James Kidney, who retired from the SEC this month after 24 years with the organisation, said in his leaving speech that his bosses had been too 'tentative and fearful' when tackling the behaviour of banking giants. As around 70 SEC lawyers and alumni looked on, Mr Kidney bemoaned the SEC's focus on being polite."* Steve Oh, Jimmy Dore (The Jimmy Dore Show), Malcolm Fleschner (Executive Producer, The Point) and Jackie Koppell break it down. *Read more here from Ted Thornhill / Daily Mail: http://www.dailymail.co.uk/news/article-2600475/Too-tentative-fearful-SEC-attorney-blasts-OWN-bosses-accusing-failing-rein-Wall-Street-leaders-financial-crisis.html ********** The Largest Online News Show in the World. Hosted by Cenk Uygur and Ana Kasparian. LIVE STREAMING weekdays 6-8pm ET. Young Turk (n), 1. Young progressive or insurgent member of an institution, movement, or political party. 2. Young person who rebels against authority or societal expectations. (American Heritage Dictionary) The Young Turks (Winner - Best Political Podcast & Best Political News Site of 2009) were the first original talk show on Sirius satellite radio and the first live, daily webcast on the internet. But that is not the revolution. We are a rare show that combines all of the news that people care about in one place. We are not afraid to talk about politics and entertainment and sports and pop culture. But that is not the revolution either. The real revolution is in daring to be honest with people. We don't patronize our viewers or lie to them. We have real conversations and deliver the news honestly. Download audio and video of the full two hour show on-demand + the members-only post game show by becoming a member at http://www.tytnetwork.com/tytmembership. Your membership supports the day to day operations and is vital for our continued success and growth. Join The Young Turks Network mailing list https://www.tytnetwork.com/secure/sign-up-free/ or Support The Young Turks by Subscribing http://www.youtube.com/user/theyoungturks?sub_confirmation=1 Like Us on Facebook: http://www.facebook.com/TheYoungTurks Follow Us on Twitter: http://www.twitter.com/TheYoungTurks Support TYT for FREE by doing your Amazon shopping through this link (bookmark it!) http://www.amazon.com/?tag=theyoungturks-20 Get your TYT Merch: http://shoptyt.com or http://theyoungturks.spreadshirt.com/
Views: 41421 The Young Turks
SEC Commissioner Daniel Gallagher on Financial Regulation
 
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Daniel M. Gallagher, a commissioner of the U.S. Securities and Exchange Commission, delivers the keynote address at "The 1940 Acts at 75: Reflecting on the Past, Present and Future Regulation of Investment Companies and Investment Advisers." Sponsored by the Virginia Law & Business Review, the event was run in partnership with the Investment Company Institute and the John W. Glynn, Jr. Law & Business Program. (April 10, 2015, University of Virginia School of Law) More at http://www.law.virginia.edu/html/news/2015_spr/lawbusiness.htm
Securities Act of 1933
 
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United States Congress enacted the Securities Act of 1933 (the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, or the '33 Act, Title I of Pub. L. 73-22, 48 Stat. 74, enacted May 27, 1933, codified at 15 U.S.C. § 77a et seq.), in the aftermath of the stock market crash of 1929 and during the ensuing Great Depression. Legislated pursuant to the interstate commerce clause of the Constitution, it requires that any offer or sale of securities using the means and instrumentalities of interstate commerce be registered with the SEC pursuant to the 1933 Act, unless an exemption from registration exists under the law. "Means and instrumentalities of interstate commerce" is extremely broad, and it is virtually impossible to avoid the operation of this statute by attempting to offer or sell a security without using an "instrumentality" of interstate commerce. Any use of a telephone, for example, or the mails, would probably be enough to subject the transaction to the statute. The 1933 Act was the first major federal legislation to regulate the offer and sale of securities. Prior to the Act, regulation of securities was chiefly governed by state laws, commonly referred to as blue sky laws. When Congress enacted the 1933 Act, it left existing state securities laws ("blue sky laws") in place. The '33 Act is based upon a philosophy of disclosure, meaning that the goal of the law is to require issuers to fully disclose all material information that a reasonable shareholder would require in order to make up his or her mind about the potential investment. This is very different from the philosophy of the blue sky laws, which generally impose so-called "merit reviews." Blue sky laws often impose very specific, qualitative requirements on offerings, and if a company does not meet the requirements in that state then it simply will not be allowed to do a registered offering there, no matter how fully its faults are disclosed in the prospectus. Recently, however, NSMIA added a new Section 18 to the '33 Act which preempts blue sky law merit review of certain kinds of offerings. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 11216 Audiopedia
Ex-SEC Commissioner Atkins on IPOs and Regulations
 
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Feb.24 -- Paul Atkins, founder and chief executive officer at Patomak Global Partners and former SEC commissioner, discusses the changes in how companies approach Initial Public Offerings, the role of regulations in protecting investors, and his potential for him to join the Trump administration. He speaks with Bloomberg's David Westin on "Bloomberg Daybreak: Americas."
Views: 618 Bloomberg
Securities Attorneys Discuss Regulations Affecting the Security Token Industry
 
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Georgia Quinn, General Counsel at CoinList, moderated a panel on regulations at the Security Token Industry Launch Event. The panel consisted of securities attorneys. You’ll hear from David Felsenthal, Partner at Clifford Chance; Troy Paredes, Founder of Paredes Strategies LLC and Lee Schneider, General Counsel at block.one. Topics included: -The Howey Test -How to identify a security token -Government regulations in the U.S. and around the world -The role of the U.S. Securities and Exchange Commission -Blockchain technology The panel discussion took place at Security Token Industry Launch Week during an event produced by the Security Token Academy. Learn more at SecurityTokenAcademy.com
SEC Rule 506 of Regulation D - What this means for upcoming ICO's & Regulations Within USA
 
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The SEC updated Rule 506 of Regulation D on Nov 27th, 2017. Granted this video is a little old, I think it has been overlooked within the community. This is amazing information for any new or ongoing ICO within the United States. We could see a brand new kind of KYC come about where these projects start requesting your bank statements or verify your financial well being and ensure that you are an accredited investor for the project at hand. Here are some key points from this ruling that was just recently updated: 1. Companies relying on the Rule 506 exemptions can raise an unlimited amount of money. 2. The company must be available to answer questions by prospective purchasers. 3. Companies that comply with the requirements of Rule 506(b) or (c) do not have to register their offering of securities with the SEC 4. File a Form D (includes the names and addresses of the company’s promoters, executive officers and directors, and some details about the offering, but contains little other information about the company. ) You can find the original article here: https://www.sec.gov/fast-answers/answers-rule506htm.html ---------- Crypto News TV Information ---------- **Crypto News TV Telegram Chat** http://bit.ly/2nokwzk **FREE $10 in Bitcoin on Coinbase** http://bit.ly/2ipXsdU **Receive FREE Bitcoin 100% Free** http://bit.ly/2jDB0hL **Cryptocurrency Podcast on iTunes** http://apple.co/2mNKdZT Contact Info: Website: https://cryptonewstv.com/ IG: https://www.instagram.com/cryptonewstv/ Donations: BTC: 171SaTtfo6byG3QYCkh8twyu7koDbHuM4J ETH: 0xA51829b418FEdBeadbdc90cc3474026e46EaDC1e NEO: AQ9iBvwu3hwzmdKR5D3ejg2suHQXrbMFcL
Views: 1051 Crypto News
Crypto ICO & SEC Regulations. What Security?
 
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At first, the SEC came out and seemed quite relaxed about the whole thing. As banks and governments start to fear more and more their power potentially escaping them. They grasp at the straws of the fraud and scam tokens who are using ICO covers for scams. Things like Bit connect went on as an obvious scam for a long time while all of us made clear, Ponzi schemes are easy to spot, and that it was up to the media and news to cover these topics, not regulators! This space is evolving so fast, it seems impossible these archaic systems will ever keep pace with a growing economy globally. As the story opens up and we find our places, we learn to act accordingly. Hard learned lessons are never solved by regulation. Prohibition should have emphasized this. The Securities Exchange Commission is making it self-useful buy cold calling these companies. Welcome to 2018 Thank you for joining the journey into the crypto-based asset classes that are growing. 🐻 Never Miss a Live Show; Subscribe & Hit the 🔔 👍 Thank You For Watching And Sharing! ▪️ Join the conversation Telegram! https://t.me/arcanebear ▪️ Visit our website: http://arcanebear.com/ ▪️ Find us on Youtube: https://www.youtube.com/c/arcanebear ▪️ Steemit: http://www.steemit.com/@thearcanebear ▪️ Linkedin: https://www.linkedin.com/in/the-arcane-bear-293496133/ ▪️ Google :https://plus.google.com/115262570276124962096 ▪️ Twitter: https://twitter.com/thearcanebear ▪️ Instagram: https://www.instagram.com/thearcanebear/ Proudly Powered by: ▪️ Pillar Project: https://pillarproject.io - Cloakcoin: http://cloakcoin.com Keep your Cryptos Secure With A Hardware Wallet: Ledger: https://arcanebear.com/product/ledger-nano/ Trezor: https://arcanebear.com/product/trezor-wallet/ Keepkey: https://arcanebear.com/product/keep-key/ These are MY ideas, and I am presenting them here for entertainment/analysis purposes ONLY, you MUST do YOUR OWN due diligence before investing in ANY CC's,digital assets or ICOs; Understand the Risks.
Views: 2071 Arcane Bear
Understanding of STO and role of SEC regulations Part 2 by CCPMH
 
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Free you mind and put on head phone to listen to this video carefully. This video is part two of explanation of my previous video. I have tried my best to keep things simple yet elaborated so that viewers can understand the scale and magnitude of future of crypto industry. Be Very clear….. - I am not a Financial Advisor, this is my personal opinion. - What ever I say or do should not be followed blindly. - I do my research and home work before making any financial decision to take any risk and same is advised. - Cryptocurrency market has huge potential with risks involved, do your own due diligence. - I shall not be held responsible for any loss, precautions are advised. - The content of this video is protected by copy rights, you are not allowed to download or use it anywhere else without permission. - It is advised to follow law and pay taxes as levied. Never trust anyone blindly who claims to be Junaid Lodhi......... double check and verify first. We are not financial advisors and do not trust anyone in chat groups or comments threads of the video. I don't ask anyone to PM me and give my number in chats. I only chat publicly in whats app and telegram groups for discussion purposes only. Hope you liked the video Be Better All the best CCPMH No1 Please advised, Political, Religious and Irrelevant posts and discussion are strictly not allowed, if you do so, you will be immediately blocked and removed. You can join Telegram with VPN or by using this proxy: https://t.me/proxy?server=proxy.digitalresistance.dog&port=443&secret=d41d8cd98f00b204e9800998ecf8427e Telegram Group: https://t.me/joinchat/HcAgNA3LKhdEERoteeeApg (CCPMH Global) Whats App Group: https://chat.whatsapp.com/HGLMXaSlWfPJQEP5QGcz7h (CCPMH BlockChain Explorer’s only for Pakistani’s plz) Easy way to browse video library: BlockChain Enthusiasts: https://t.me/ccpmhglobalofficial/153 (by CCPMH) Better Me Series: https://t.me/ccpmhglobalofficial/154 (by Jay) Join the chat groups to learn and share not to waste your and others time with irrelevant discussion and posts. if you do so, you will be removed.
Views: 264 CCPMH Global
SEC Chairman: Blockchain is powerful "but you need to follow our securities laws"
 
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At Consensus Invest this week, SEC Chairman Jay Clayton made it clear that the SEC will not support an ETF until market manipulation is addressed. He chatted with me immediately after announcing this, and shared his opinion of those who try to skirt securities regulations. As the blockchain world becomes increasingly decentralized, will the SEC be able to maintain control? The Chairman says that he's not worried. Do you agree? If you liked this video, please subscribe! Patreon.com/NaomiBrockwell HUGE thank you to all my AMAZING Patreon supporters! And a GIANT thank you to my sponsors: Nelly's Organics (https://nellysorganics.com/) Decentranet (https://decentranet.com/) HardFork Entertainment (http://hardforkentertainment.io/) Fort Galt (https://fortgalt.com/) Horizen [formerly Zencash] (https://www.horizen.global/) (Horizen telegram: https://t.me/zencash) Thanks for watching!! Leave a comment below and come say hi to me on: Twitter (@NaomiBrockwell) Steemit (https://steemit.com/@skycorridors) Telegram (https://t.me/hijinxandhightea) Bitchute (https://www.bitchute.com/naomibrockwelltv/) Podcast: https://soundcloud.com/naomibrockwell/tracks https://itunes.apple.com/us/podcast/bitcoin-blockchain-and-the-technologies-of-our-future/id1332680060?mt=2 Songs: Freenauts - Third Party Girl https://www.youtube.com/watch?v=tfZZkKr-YsU BTC: 37xcH3CgPUZNHDnhsihcZprHDdSD2ST8m1 BCH: bitcoincash:qrvq77guzjajf549g727dastmxrf2jsgjsl34rjfg8 Dash: XwdzPHwqVnCpJAnqJHEzxrJyPcBTCGLA2T Zcash (ZEC): t1efmA8uL5AZtrA1C4EBet8kE65zPPnj9eV ETH: 0x7603d2c5C00266D5d155a651840eaa22aef590dA
Views: 1055 Naomi Brockwell
SEC vs KIK: Inside the Securities and Exchange Commission Ruling
 
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The Security Token Academy held its fourth meetup in Southern California. It took place inside Maggiano’s at The Grove in Los Angeles. Security Token Academy host Amy Wan, discusses the latest rulings by the Securities Exchange Commission with Marc Boiron, attorney at FisherBroyles, LLP. You’ll hear him discuss the recent SEC ruling involving messaging app KIK, offshore rulings and more in this expert interview. Learn more at https://www.securitytokenacademy.com/
Elon Musk Mocks The U.S. Securities And Exchange Commission
 
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On Thursday, hours after a federal judge ordered him and the regulator to justify their settlement of securities fraud charges, Tesla CEO Elon Musk mocked the U.S. Securities and Exchange Commission. Musk wrote on Twitter, "Just want to say that the Shortseller Enrichment Commission is doing incredible work. And the name change is so on point!” According to Reuters, the settlement is intended to resolve charges that Musk misled investors in tweets earlier this month, including that there was “funding secured” to take Tesla private. Musk has since agreed to pay a $20 million fine, and step down as Tesla’s chairman for the next three years. http://feeds.reuters.com/~r/reuters/topNews/~3/MBoy3FXuTeg/teslas-musk-ordered-to-defend-fraud-settlement-takes-aim-at-sec-idUSKCN1ME2CC http://www.wochit.com This video was produced by YT Wochit News using http://wochit.com
Views: 117 Wochit News
Securities and Exchange Commission (Philippines)
 
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See Securities and Exchange Commission for other similarly named organizations in other countries The Securities and Exchange Commission is the agency of the Government of the Philippines responsible for regulating the securities industry in the Philippines. The SEC is an agency within the Office of the President of the Philippines. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 3239 Audiopedia
SEC Regulation of Investment Advisers…..good news/bad news
 
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7 minute tour of SEC Regulations of Investment Advisers, the bad news, the disguises and deceptions that it allows for most investors to suffer from, and the economic harm to Americans. There are two sets of rules, one protects you from financial predators, and sadly, this one allows financial predators to abuse more than 90% of Americans. Lives harmed, retirement dreams shattered. Some of the special tricks hidden from the public. Tell me @RecoveredBroker if I miss anything or need to correct, and tell your rep in Washington that the SEC owes you your retirement back.
Views: 598 Larry Elford
Financial Regulation: New Era, New Regulators
 
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The current U.S. administration has undertaken a substantial review of existing financial regulatory structures as part of an effort to increase economic growth and decrease regulatory burden. Both chambers of Congress moved legislation forward designed to overhaul, and in some cases eliminate, portions of the Dodd-Frank legislation passed after the 2008 financial crisis. Ten years after the crisis, what is the state of financial regulations? What is the philosophy that is shaping this new approach? How can regulations continue to safely facilitate the availability of credit to spur growth and create jobs? Moderator Ben White Chief Economic Correspondent, POLITICO Speakers J. Christopher Giancarlo Chairman, U.S. Commodity Futures Trading Commission Jeb Hensarling U.S. Representative, Texas; Chairman, Committee on Financial Services, U.S. House of Representatives Joo-Yung Lee Managing Director, Head of North American Financial Institutions, Fitch Ratings Craig Phillips Counselor to the Secretary, U.S. Department of the Treasury Michael Piwowar Commissioner, U.S. Securities and Exchange Commission #MIGlobal http://www.milkeninstitute.org/events/conferences/global-conference/2018/
Views: 768 Milken Institute
Fmr. SEC Chairman: We're living in a period of excessive regulation
 
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Former SEC Chairman Harvey Pitt discusses how world policy issues and government regulations impact the markets and businesses in the U.S.
Views: 329 Fox Business
Crowdfunding Laws, Rules and Regulations
 
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https://www.manatt.com/Brian-S-Korn Brian Korn is a corporate and securities attorney at the law firm Manatt, Phelps & Phillips, LLP, and has had multiple appearances on Fox Business Television, Bloomberg, CCTV America and National Public Radio as an expert on the JOBS Act, including its impact on crowdfunding, peer-to-peer lending, IPOs and market trading dynamics. He has been published or quoted in Forbes, CNBC, MSNBC, New York Law Journal, Law360, Philadelphia Inquirer, Pittsburgh Post-Gazette, The Financier Worldwide and The Review of Securities & Commodities Regulation. He is the author of several articles on capital raising and investor liquidity, and has several clients in the peer-to-peer lending space. Brian is the author of “The Trouble with Crowdfunding” published in Forbes, as well as the Forbes article announcing the SEC’s crowdfunding rules proposal. Prior to joining Pepper, Brian was Head of Equity Capital Markets and Syndicate Compliance at Barclays and was Senior Vice President and Assistant General Counsel for Citigroup Global Markets Inc.Brian is an honors graduate of the University of California at Berkeley and the Northwestern University School of Law.
Views: 879 Fintech World
Quarterly SEC Update for Accountants (QSEC)
 
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Overview The United States Securities and Exchange Commission (SEC) is the prime regulator of capital markets in the United States. Whether your company is an SEC registrant, contemplating a securities offering or you are a CPA who provides services to an SEC client, you need to stay up to date on what is going on at the SEC, especially with a potential change in direction due to the new Trump Administration. In this quarterly two-hour update, we’ll explore the key topics on the SEC agenda, such as non-GAAP disclosures, Executive Pay and other Disclosures, and other initiatives to both safeguard investors as well as increase access to markets. Also, with so many new accounting Updates becoming effective over the next few years, we’ll explore recent SEC guidance on SAB 74 disclosures and other SEC feedback on implementing new standards that will be valuable for both registrants and non-filers alike. If you are involved with SEC matters or clients, or just want to stay on top of the latest accounting regulatory news, this is the course for you. Major Topics: SEC guidance in the areas of financial accounting and reporting Other SEC rules and regulations with which entities will need to comply Other issues related to the SEC Learning Objectives Recall recent SEC accounting and reporting guidance Describe recent regulatory activity at the SEC Recall other issues currently being deliberated by the SEC Designed for: Accounting and auditing practitioners and industry financial professionals at all levels desiring to understand the rules and regulations of the United States Securities and Exchange Commission PREREQUISITE: Experience in accounting and auditing issued related to publicly traded companies ADVANCED PREPARATION: None
Views: 15 Surgent CPE
Breaking News: SEC Chairman Declares All ICOs As Securities
 
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Breaking News: SEC Chairman Declares All ICOs As Securities Subscribe: http://bit.ly/CryptoCoinNewsYT Jay Clayton, the head of the Securities and Exchange Commission (SEC) has made an announcement on CNBC with regards to ICO's. According to the SEC, all tokens or digital assets that were used to raise funds for a venture or company with an expectation of profit, either given by the company formed or exchangeable on a secondary market, are classified as securities, meaning that most ICO's would fall under this definition. The chairman also underlined that the agency won't be adjusting the current rules of the SEC for Initial Coin Offerings. Clayton was not entirely against the technology provided by the blockchain industry, stating that distributed ledger technology provides incredible promise not only in the financial market but in other areas too. Finally, the SEC representative said that cryptocurrencies like Bitcoin should not be considered as a security, given that they do not seek to fund a project in exchange for a return.
Views: 15539 CryptoCoin.News
Standards-Setting Bodies: FASB, GAAP, SEC, AICPA | Intermediate Accounting | CPA Exam FAR | Chp 1 p2
 
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After the stock market crash in 1929 and the Great Depression, there were calls  for  increased  government  regulation  and  supervision—especially  financial  institutions  and  the  stock  market.  As  a  result,  the  federal  government  established  the  Securities  and  Exchange  Commission  (SEC)  to  help  develop  and  standardize  financial  information  presented  to  stockholders. The SEC is a federal agency and administers the Securities Exchange Act of 1934  and several other acts. Most companies that issue securities to the public or are listed on a stock  exchange are required to file audited financial statements with the SEC. In addition, the SEC has  broad powers to prescribe the accounting practices and standards to be employed by companies  that fall within its jurisdiction.  9.  At the time the SEC was created, it encouraged the creation of a private standards­setting  body. As a result, accounting standards have developed in the private sector either through the  American Institute of Certified Public Accountants (AICPA) or the Financial Accounting Standards  Board  (FASB).  The  SEC  has  affirmed  its  support  for  the  FASB  by  indicating  that  financial  statements  conforming  to  standards  set  by  the  FASB  will  be  presumed  to  have  substantial  authoritative support.  10.  Over its history, the SEC’s involvement in the development of accounting standards has  varied. In some cases, the private sector has attempted to establish a standard, but the SEC has  refused to accept it. In other cases, the SEC has prodded the private sector into taking quicker  action on setting standards.  11.  If  the  SEC  believes  that  an  accounting  or  disclosure  irregularity  exists  regarding  a  company’s  financial  statements,  the  SEC  sends  a  deficiency  letter  to  the  company.  If  the  company’s  response  to  the  deficiency  letter  proves  unsatisfactory,  the  SEC  has  the  power  to  issue a “stop order,” which prevents the registrant from issuing securities or trading securities on  the exchanges. Criminal charges may also be brought by the Department of Justice.  At  the  urging  of  the  SEC,  the  AICPA  appointed  the  Committee  on  Accounting  Procedure (CAP) in 1939. This group issued 51 Accounting Research Bulletins (ARBs) during  the years 1939 to 1959. In  1959,  the  AICPA  created  the  Accounting  Principles  Board  (APB).  The  major  purposes of this group were (a) to advance the written expression of accounting principles, (b) to  determine  appropriate  practices,  and  (c) to  narrow the  areas  of  difference  and  inconsistency  in  practice. Its  pronouncements,  known  as APB  Opinions,  were  intended to  be  based mainly  on  research studies and be supported by reason and analysis.  The FASB  14.  Early  in  its  existence  the  APB  was  criticized  for  lack  of  productivity  and  failing  to  act  promptly,  then  it  was  criticized  for  overreacting  to  certain  issues.  A  committee,  known  as  the  Study Group on Establishment of Accounting Principles (Wheat Committee), was set up to  study the APB  and  recommend  changes  in  its  structure  and  operation. The  result  of the Study  Group’s  findings  was  the  demise  of  the  APB  and  the  creation  of  the  Financial  Accounting  Standards Board (FASB) in 1973. The FASB represents the current rule­making body within the  accounting profession.  15.  The role of the AICPA in standard setting is now diminished, but has a Financial Reporting  Executive Committee  (FinREC), which is authorized to make public statements on behalf of the  AICPA  on  financial  reporting  matters.  FinREC  also  issues  audit  and  accounting  guides,  which  address  particular  areas  in financial  reporting.  Furthermore, the  AICPA  has  been the  leader  in  developing auditing standards through its Auditing Standards Board—but the Sarbanes­Oxley Act  now  requires  the  Public  Company  Accounting  Oversight  Board  to  oversee  the  development  of  auditing standards. The AICPA continues to develop and grade the CPA examination.  16.  The  mission  of  the  FASB  is  to  establish  and  improve  standards  of  financial  accounting  and reporting for the guidance and education of the public, which includes issuers, auditors
Jason Best discusses the SEC crowdfunding regulation
 
05:34
For more on the SEC new regulations on crowdfunding, CCTV America’s Michelle Makori spoke with Jason Best, Co-Father of Crowdfund Investing on the Promise of Title III. Watch CCTV America LIVE on your computer, tablet or mobile www.cctvamericalive.com Subscribe to CCTV America on YouTube: CCTVAmerica1 Follow CCTV America: Twitter: @cctv_america Facebook: CCTVAmerica Google+: CctvamericaTvnews »» Watch CCTV America «« Washington, DC (and greater area) • MHz - Channel 3 • COMCAST (Xfinity) - Channel 273 • FIOS - Channel 277 New York City • Time Warner - Channel 134 • FiOS (Verizon) - Channel 277 Los Angeles • Charter Cable - Channel 562 • Time Warner - Channel 155 Satellite Nationwide • DISH TV - Channel 279
Views: 533 CGTN America
Cryptocurrency Regulations - Should the SEC Regulate
 
32:15
Cryptocurrency Regulations - Should the SEC Regulate Get Tubebuddy: https://bit.ly/2ALbosU Watch the Crypto Passive Income Strategy Course: https://bit.ly/2RDH610 Subscribe to our Channel: https://goo.gl/ogWmRC Join Our Bitcoin Passive Profits Community : https://forms.aweber.com/form/75/120106775.htm Get Cryptotab Browser: https://bit.ly/2qv0gL2 Earn with Cointiply Faucet: https://bit.ly/2D3uqg2 Earn with Adbtc Paid to Click Network: https://bit.ly/2ANZY8f Earn with Moonbitcoin Faucet: https://bit.ly/2APWWAl Earn with Freebitcoin Faucet: https://bit.ly/2JELx94 To make withdraws into USD set up a Coinbase Account: https://www.coinbase.com Please subscribe to my channel and leave a comment below. Do not consider my content as anything other than Satire. This is for your entertainment. Not investing advice.
Views: 162 Crypto Wealth
Securities And Exchange Commission
 
01:02
An Easy Overview Of The Securities And Exchange Commission
Views: 2036 Christopher Hunt
The Future of the U.S. Securities Regulation with SEC Commissioner Michael Piwowar
 
01:18:39
An Evening with SEC Commissioner Michael S. Piwowar Join Murray Dalziel, Dean of the Merrick School Business and Ronald Weich, Dean of UB's Law School, as they welcome SEC Commissioner, Michael S. Piwowar for a dialogue on "The Future of the U.S. Securities Regulation." ABOUT THE SPEAKER Michael S. Piwowar, Ph.D. was first appointed to the SEC by President Barack Obama and was sworn in on August 15, 2013. Piwowar was designated Acting Chairman of the Commission by President Donald Trump from January 23, 2017, to May 4, 2017. Previously,Piwowar was the Republican chief economist for the U.S. Senate Committee on Banking, Housing, and Urban Affairs under Senators Mike Crapo (R-ID) and Richard Shelby (R-AL). He was the lead Republican economist on the four SEC-related titles of the Dodd-Frank Act and the JOBS Act. Piwowar also worked on a number of important SEC-related oversight issues under the jurisdiction of the Committee, such as securities, over-the-counter derivatives, investor protection, market structure, and capital formation. Piwowar received a B.A. in Foreign Service and International Politics from the Pennsylvania State University, an M.B.A. from Georgetown University, and a Ph.D. in Finance from the Pennsylvania State University.
Laws, Rules, Regulations for Title III & Initial Coin Offering (ICOs)
 
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http://www.fintechworld.com Georgia P. Quinn is the CEO and co-founder of iDisclose, an adaptive web-based application that enables entrepreneurs to prepare customized institutional grade private placement documents for a fraction of the time and cost.Heralded by Thomson-Reuters as a Top Female Attorney in New York City,she also serves as of counsel at the leading firm in crowdfunding, Ellenoff, Grossman & Schole,specializing in facilitating financial transactions and compliance with JOBS Act regulations. A foremostexpert in corporate finance, she has worked on over $1 billion in business transactions over the course of her legal career. Prior to founding iDisclose, Georgia representedseveral Fortune 500 companies in financings for six years at Weil, Gotshal & Manges, one of the top ten law firms in the world, and then for over two years at Seyfarth Shaw, a leader in legal technology. As a globally recognized thought the leader in the crowdfunding space, she has been a featured speaker at multiple conferences and has presented to such authorities as the Securities and Exchange Commission (SEC) and the American Bar Association (ABA).
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