Search results “Securities regulation act”
Securities Contracts & Regulation Act, 1956
Securities Contracts (Regulation) Act, 1956. The Securities Contracts (Regulation) Act, 1956 also known as SCRA is an Act of the Parliament of India enacted to prevent undesirable exchanges in securities and to control the working of the stock exchange in India. It came into force on February 20, 1957.
Lecture 20 : Securities Contracts Regulation Act, 1956 for SEBI Grade A
Lecture 20 : Securities Contracts Regulation Act, 1956 for SEBI Grade A PPT of the Lecture: https://drive.google.com/open?id=16Y5e1kSnmUt7ddALzHkRzIQnpxE47maS
Views: 2276 Sunny Gulve
Securities Law Introduction
Professor Alastair Hudson introduces the Securities Law course. Securities Law Modules: • Module A: The foundations of securities regulation • Module B: Prospectus and transparency regulation of securities • Module C: Liability for misstatements in a prospectus • Module D: The Listing Rules and the Model Code Find out more about this course here: http://www.londoninternational.ac.uk/courses/postgraduate/llm-postgraduate-laws-llm-postgraduate-diploma-postgraduate-certificate#structure Find out more about the course convenor Professor Alastair Hudson: https://socialsciences.exeter.ac.uk/law/staff/hudson/
The Securities Act of 1933 and the Securities Exchange Act of 1934
This video discusses how the Securities Act of 1933 and the Securities Exchange Act of 1934 affected financial accounting in the United States. These acts created the Securities and Exchange Commission (SEC) and require publicly-traded companies to be registered with the SEC. Publicly-traded companies must file an annual report (the 10-K), a quarterly report (the 10-Q), and a report whenever there is a material event (the 8-K) such as a bankruptcy, change of ownership, etc. This significantly increased the regulation for public companies in the U.S. and increased protections for investors. Edspira is your source for business and financial education. To view the entire video library for free, visit http://www.Edspira.com To like Edspira on Facebook, visit https://www.facebook.com/Edspira To sign up for the newsletter, visit http://Edspira.com/register-for-newsletter Edspira is the creation of Michael McLaughlin, who went from teenage homelessness to a PhD. The goal of Michael's life is to increase access to education so all people can achieve their dreams. To learn more about Michael's story, visit http://www.MichaelMcLaughlin.com To follow Michael on Twitter, visit https://twitter.com/Prof_McLaughlin To follow Michael on Facebook, visit https://www.facebook.com/Prof.Michael.McLaughlin
Views: 6795 Edspira
Finance: What is the 1934 Securities And Exchange Act?
What was the 1934 Securities and Exchange Act? Hit play to find out.
Views: 162 Shmoop
Securities Contract (Regulation)Act, 1956 (COM)
Subject : Commerce Paper : Corporate Legal Framework Module : Securities Contract (Regulation)Act, 1956 Content writer : Ms. Parul Chopra
Views: 2874 Vidya-mitra
Securities contract regulations act
For the pdf notes please go the link below https://drive.google.com/file/d/0BwRsCr9ubdEKejExakVVamNjQzg/view?usp=drivesdk This series covers the details with regard to securities contract regulations Acha lage tho duaan mein yaad rakhna Get in touch with me 9831029895 [email protected] www.facebook.com/riteshgoel35 Please share/like/comment (Help me to improve to serve you better)
Views: 372 rites goel
Securities Contract Regulation Act (SCRA) For CA Final May 19 exams by Darshan Khare Sir
His chapter contains the Securities Contract Regulation Act i.e SCRA for CA Final May 19 exams. Hope you all loved the same. Cover entire law for May 19 👇 from various renowned faculties. Pending chapter to be uploaded soon https://www.youtube.com/playlist?list=PLHUK5s4EiWRfvKo_nvUCsq71P3KlZ-j3v Audit MCQ sessions MCQ Session by Pankaj Garg Sir part-1 https://youtu.be/4lW8134hHYU Part-2 https://youtu.be/kwxhbsPly1M MCQ session on company audit by Sanidhya Saraf Sir https://youtu.be/GLRZlb7kV90 Telegram Channel- https://t.me/HappyCAs Telegram Group- https://t.me/joinchat/KIV6PFJ65AP1SUYk7h4rlg
Views: 772 HAPPY CA
CA Final G1-Securities  contracts Regulation Act(SCRA),1956 part1 on http://cakart.in video
Crack CA Final in the 1st attempt. Get India's best faculty video classes for best study at home. Give missed call @9980100288. International students - visit https://www.cakart.in and chat. A smart decision today can save you a lot of time (years) in your career. Give missed call @9980100288 now. This lecture sample from Ideal Classes covers the topic-SCRA from the subject - - Corporate and Allied Laws of CA Final G1 .For the Video Lecture + eBooks + Question bank package please visit http://www.cakart.in
Views: 5732 CA KART
Securities contract (regulation) act, 1956 ll Power of CG/SEBI ll (HINDI REVISION)
Withdrawal of Recognition by CG & Inquiry and action power of CG/SEBI. QUICK AND EASY REVISION
Views: 2708 CA Dost
SEBI Regulations - Fundamentals
This is the most fundamental discussion on Capital Market that helps students to smoothly study SEBI Regulations without any doubts.
Securities Act of 1933
http://thebusinessprofessor.com/securities-act-of-1933/ Securities Act of 1933
Views: 1432 Jason Mance Gordon
Regulation D Securities Exemptions
http://thebusinessprofessor.com/regulation-d-securities-exemption/ Regulation D Securities Registration Exemptions
Views: 879 Jason Mance Gordon
What does The Securities and Exchange Commission do?
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: 30763 FinLit
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: 21337 Deep Talks
Securities Act of 1933
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: 10181 Audiopedia
Lecture 31 : Securities Contracts Regulation Act, 1956 (part - 3) for SEBI Grade A
Lecture 31 : Securities Contracts Regulation Act, 1956 (part - 3) for SEBI Grade A PPT of the lecture: https://drive.google.com/open?id=11_Vnu9jN9Bg6GrKmQ9deHoBksSzLairV
Views: 1057 Sunny Gulve
Securities & Exchange Board Of India [SEBI ACT 1992] | Fraudulent Trade Practices | Part 4 B
Advanced Auditing and Professional Ethics: Chartered Accountancy; Securities & Exchange Board Of India [SEBI ACT 1992] | Fraudulent Trade Practices | Part 4 B; Topic Covered : 1. Prohibiting Fraudulent and Unfair Trade Practices relating to Securities Market 2. Promoting investors 'education & training of intermediaries' of Securities Markets 3. Prohibiting insider trading associated with Securities Market 4. Exercising powers delegated to it by the Central Government 5. Levying fees or other charges securities 6. Regulating substantial acquisition of shares and take - over of companies 7. Inquiries, inspections and audits of stock exchanges, mutual funds, other persons for carrying out the purpose of this section 8. Conduct Research Video by Edupedia World (www.edupediaworld.com), Free Online Education; Download our App : https://goo.gl/1b6LBg Click here, https://www.youtube.com/watch?v=ctYzDxjTaJc&list=PLJumA3phskPG8HPVY4PNbHHjBMxGLkWFlfor more videos on Advanced Auditing and Professional Ethics; All Rights Reserved.
Views: 736 Edupedia World
CPA Exam REG Securities Regulation Sample
Views: 218 CPA Adventure Guide
Citizen Primer: Securities Regulation
Please follow us on Twitter @CitizenPrimer and subscribe! Citizen Primer plans to release six short videos explaining government functions that are poorly understood by the public. The topics that will be explored are Social Security, Medicare, The Affordable Care Act, securities regulation, the deficit/debt, and the progressive tax code. These topics were chosen as they are all poorly understood by the public and are commonly addressed in the public sphere through misinformation and hyperbole. The project intends to explain these concepts in an unbiased way, beginning a conversation that is critical to citizenship in the new millennium. These short pieces are meant for anyone that has an interest in domestic US politics, though they are targeted at low-information voters. This project will remind voters (and future voters) of the relevance of the political process to their lives and give them a more complete knowledge of these processes. We hope the pieces also act as a model for effecting change in their world, encouraging others to create similar pieces as a form of social advocacy.
Chapter 1 (SCRA Act, 1956) Securities Law New Syllabus
Quick revision of SCRA 1956
Views: 802 Shubhamm Sukhlecha
SCRA | Securities Contracts Regulation Act | For Revision / 1st Time Both
SCRA | Securities Contracts Regulation Act | Quick Revision For November 2018 and onward #uttammodielearning Notes link: https://drive.google.com/file/d/10ECkLIcjeeT57Y8RKqt7DdDF2vl46z3w/view?usp=sharing #Audit #cafinal #financialreporting #sfm #uttammmodi #uttammodielearning Subscribe Uttam Modi E Learning: https://www.youtube.com/channel/UCUsNMP4Lc7qqZqya2gQsUGQ Follow us on Instagram: https://www.instagram.com/uttammodielearning/ Join our Telegram Group: https://t.me/joinchat/IfNLIUhHrcCsBKveLPGJSQ Email id : [email protected]
Amendments to Securities Contracts (Regulation) Act, 1956
Amendments to Securities Contracts (Regulation) Act, 1956 Download Class Notes: http://www.munshigiri.com/blog/wp-content/uploads/2015/05/amendments-in-scra.pdf Visit http://www.munshigiri.com for more!
Views: 2816 MunshiGiri
The JOBS Act: Regulation A+ of JOBS Act - Expert RossBlankenship.com
The JOBS Act - analyzed and reviewed - A full analysis and review of Regulation A of Section 401 of the Jumpstart Our Business Startups JOBS Act (http://angelkings.com/reg-a-jobs-act). Startup expert and venture capitalist, Ross Blankenship (http://angelkings.com/course) explains the significance and detailed rules of the Regulation A+ (mini-IPO) (http://angelkings.com/invest). Section 401 of the JOBS Act added Section 3(b)(2) to the Securities Act of 1933, which directs the Commission to adopt rules exempting from the registration requirements of the Securities Act offerings of up to $50 million of securities annually. Quoting SEC Chairman, Mary Jo White, "....the mandate of Regulation A+ is to help increase the access of smaller companies to capital. This is obviously a very important objective. Our rule making goal is to make Regulation A+ an effective, workable path to raising capital that... builds in the necessary investor protections.” The SEC’s final rule was adopted on March 25, 2015. Here, the SEC expanded Regulation A into 2 tiers, Tier 1 for offerings of up to $20 million and Tier 2 for offerings up to $50 million. The SEC gave new retail investors the opportunity to invest, as long as the following provisions were abided by from startups: Offering Circular - companies must provide the SEC with audited financials for the previous two years of business. Liquidity - shares in startups are transferable, and not restricted. Proceeds - On Tier 2 offerings, there is an annual offering limit of up to $50 million in equity, debt or convertible securities, including no more than $15 million from selling security holders. For Tier 1 offerings, the annual limit is $20 million, with not more than $6 million from selling security holders. To learn from the startup and venture capitalist expert: http://www.theinvestingexpert.com ("book on startups and the SEC's JOBS Act)
M. Todd Henderson, "Abolish Securities Regulation (and Replace It With a Market)"
Our regulation of the stock market is based on an antiquated statute that does not fit well with the realities of modern securities practice. Corporations hoping to access public markets are required to disclose market-moving information without charge and to all investors simultaneously. This system of mandatory and simultaneous disclosure is designed to protect average, long-term investors, while ensuring that stock prices are accurate reflections of the value of the firms issuing them. But the regulations are premised on faulty assumptions about who is trading in today’s sophisticated, high-speed markets, and why they are trading. The regulation also encourages behavior that we know is socially suboptimal. The end result is regulation that purports to be about fairness for investors, but ends up harming the most vulnerable investors. In this talk, Professor Henderson will propose an alternative regulatory scheme—a market for corporate information—that will achieve fairer outcomes for investors at lower cost. M. Todd Henderson is the Michael J. Marks Professor of Law and Mark Claster Mamolen Research Scholar. This Chicago's Best Ideas talk was recorded on November 17, 2015.
FA15 Securities Contract Regulation Act, 1956: Allied Law (Old Syll) - By CA Darshan Khare Sir
a. Daily Revision of Competition Act b. Securities Contract Regulation Act, 1956 Concept & History c. SCRA, 1956: Applicability d. SCRA, 1956: Provisions
Views: 13358 Contact vsmart
What are Securities
Section 2 (h) of the Securities Contract (Regulation) Act, defines what is a security. More such videos subscribe to https://www.youtube.com/ekcelacademy Visit www.ekcelacademy.com For queries write to us at [email protected] Basic and important definitions as per the Companies Act, 2013. A useful resource for CS, CA, ICWA, CMA, Law Students. This definition is important for all subjects be it company law, tax laws, accounts, costing etc. This video has the definition presented in a simple and easy way to understand.
SCRA Lecture by Prof.Rajesh Tayal for CA FINAL
Securaties Contract Regulation Act lecture of Corporate & Other Allied Laws By Prof.Rajesh Tayal Like us on Facebook on : https://www.facebook.com/TayalInstitutePvtLtd/ Subcribe us for more videos relating to CA FINAL : https://www.youtube.com/user/TayalInstitutepvtltd : https://www.youtube.com/channel/UCGpUFWbgIrgKqCpOb4bRUvg For more information please call or whats app us on : 09773824714 Write us email on : [email protected] For Online lectures Log on to : www.tayalsirvod.com
Views: 21814 Life Re-Design Studio
Lecture 25 : Securities Contracts Regulation Act (Part - 2) for SEBI Grade A
Lecture 25 : Securities Contracts Regulation Act (Part - 2) for SEBI Grade A PPT of the lecture: https://drive.google.com/open?id=13joqgPUQ5zxyvOgCPb3yiPGS592xQPES
Views: 1261 Sunny Gulve
Securities Contract Regulation Act, 1956 I Practice Manual I SCRA I CA Final I NK calling I Scanner
To Buy Pen Drive Lectures, Video Classes, Books, Test Series etc. Video Classes – New Course. http://www.corporatestudies.org/product/corporate-and-economic-laws/ Old Course- http://www.corporatestudies.org/product/corporate-and-allied-laws-ca-final-classes/ CA Inter Law- http://www.corporatestudies.org/product/ca-inter-corporate-laws/ Practice manual- NK calling CA Final new/ course- http://www.corporatestudies.org/product/ca-final-corporate-economic-law-practice-manual-nk-calling/ CS Executive Company Law http://www.corporatestudies.org/product/c-s-executive-company-law/ For Any Information Video classes & Face To Face Batches Call 9818248595 & 9968491585 N k calling
Views: 367 N.K Singh Law
Perspectives on securities regulation: A conversation with SEC Chairman Jay Clayton
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
Securities contract and (regulation) Act, 1956 unit 4 part 1
CEC/UGC: Economics, Commerce and Finance (EMRC,Gujarat University,Ahmedabad)
Series 7 Exam Session 2 - Securities Laws
Session 2 in our Series 7 exam videos. Provides an overview of the major securities laws covered in the exam. Get more answers at our forum for finance and accounting at passingscoreforum.com
Views: 57846 Passing Score
C A final Law I CS Executive capital Market I Securities Contract Regulation Act, 1956
C A final Law by N K Singh Securities Contract Regulation Act, 1956 Applicable for both CA final new course and old course students. To subscribe full course visit us at corporatestudies.org or call at 9818248595.
Views: 9272 N.K Singh Law
कैसे करे Security Agency Business भारत में और कैसे कमाए लाखो महीने
कैसे करे Security Agency Business भारत में और कैसे कमाए लाखो महीने में 9990694230 Whatts App or [email protected] This Video will tell you how to Start own Private Security Agency and What License is required in doing so it is tutorial Video. Starting a Security Guard Service Business How to Get Private Security Agency License To open a security agency - PF & ESI - Labour & Service Law How to Start Security Service Companies How to start the private security business in india How to Start a Security Agency Business in India How to start security service business or security agency in India Start a Private Security Business: Plan, Registration and Licenses how to apply forlicence to start a private security agency security agency registration procedure in Haryana documents required for security agency private security agency license application form how to register a security guard company private security agency license application form uttar pradesh private security agency license application form gurgaon/gurugram Noida private security agencies regulation act 2005 in Hindi private security agency rules #security #agency #how to #start #security agency in #India security agency business plan in Hindi security agency in India security agency business Security agency security agency as a business how to start security agency security agency start security agency open security company earning through security business earning through security agency how to start security agency in India where to get security agency license criteria for security agency Obtaining PSARA 2005 License for Private Security Agency PSARA License | Private Security Agency License Private Security Agencies (Regulation) Act, 2005 The Private Security Agencies (Regulation) Act, 2005 This video is solely made for the purpose of educating student/ society and not for purpose of advertisement/ solicit clients Subscribe the channel click on below link and click red Subscribe button https://goo.gl/UhM73U Connect on Google Plus Click below link and follow https://goo.gl/Lx3YTW Connect on Facebook Page click link and Do like the page https://goo.gl/hCPFAi Connect on Instagram https://goo.gl/TCZG43 DISCLAIMER This video is merely a general guide meant for learning purposes only. All the instructions, references, content or documents are for educational purposes only and do not constitute a legal advice. We do not accept any liabilities whatsoever for any losses caused directly or indirectly by the use/reliance of any information contained in this video or for any conclusion of the information. Prior to acting upon this video, you're suggested to seek the advice of your financial, legal, tax or professional advisors as to the risks involved may be obtained and necessary due diligence, etc may be done at your end.
Views: 51085 Gaurav Sharma
Saylor.org BUS205: "Federal Securities Regulation in the United States"
This video is a lecture used in BUS205 as part of our Business Administration area of study on http://www.saylor.org This work is licensed under a Creative Commons Attribution 3.0 Unported License. ( http://creativecommons.org/licenses/by/3.0/ ) List of Openly Licensed / Public Domain Assets Used: - The Wikipedia resource "List of Largest Daily Changes in the Dow Jones Industrial Average" is in the public domain. The original can be found here: http://en.wikipedia.org/wiki/List_of_largest_daily_changes_in_the_Dow_Jones_Industrial_Average - The definition of "Security" Under the 1933 Act is in the public domain. The original can be found here: http://www.sec.gov/about/laws/sa33.pdf - The image "Citrus Sinensis" is attributed to Jean-Pol Grandmont and is licensed under the Creative Commons Attribution-Share Alike 2.5 Generic license. The original can be found here: http://commons.wikimedia.org/wiki/File:Citrus_sinensis_JPG01.jpg
Views: 3913 Saylor Academy
CA Final Law SCRA Securities Contract Regulations Act by CA Padma Jain
Here is the link of the product https://www.buytestseries.com/OnlineCourses/CA-Final-Corporate-and-Allied-Laws-Video-Lectures-by-CA-Padma-Jain-USB
Views: 1541 BuyTestSeries
CA Final G1-Securities  contracts Regulation Act(SCRA),1956 Part2 on http://cakart.in video
Crack CA Final in the 1st attempt. Get India's best faculty video classes for best study at home. Give missed call @9980100288. International students - visit https://www.cakart.in and chat. A smart decision today can save you a lot of time (years) in your career. Give missed call @9980100288 now. This lecture sample from Ideal Classes covers the topic-SCRA from the subject - - Corporate and Allied Laws of CA Final G1 .For the Video Lecture + eBooks + Question bank package please visit http://www.cakart.in
Views: 2547 CA KART
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
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: 5809 Way Back
The Future of the U.S. Securities Regulation with SEC Commissioner Michael Piwowar
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.
Series 63   Registration of securities, exempt securities
This video is taken from our Series 63 Video Lecture (https://solomonexamprep.com/series63/online-video-lecture). Topics covered in this video: what is a security, registration of securities, three ways of registering a security at the state level, registration of securities, exempt transactions, and filing requirements. The full Video Lecture can be purchased online and is included as part of our Series 63 Total Study Package: https://solomonexamprep.com/series63
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CA Final Corporate and Allied Laws - The Securities Contract (Regulation) Act, 1956
Learn CA Final - Corporate and Allied Laws - Practice Manual - Questions. Chapter: The Securities Contract (Regulation) Act, 1956
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