A report on U.S. Securities and Exchange Commission
Independent agency of the United States federal government, created in the aftermath of the Wall Street Crash of 1929.
- U.S. Securities and Exchange Commission91 related topics with Alpha
Financial crisis of 2007–2008
13 linksSevere worldwide economic crisis that occurred in the early 21st century.
Severe worldwide economic crisis that occurred in the early 21st century.
In 2004, the U.S. Securities and Exchange Commission relaxed the net capital rule, which enabled investment banks to substantially increase the level of debt they were taking on, fueling the growth in mortgage-backed securities supporting subprime mortgages. The SEC conceded that self-regulation of investment banks contributed to the crisis.
Securities Exchange Act of 1934
6 linksLaw governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America.
Law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America.
The 1934 Act also established the Securities and Exchange Commission (SEC), the agency primarily responsible for enforcement of United States federal securities law.
Investment banking
7 linksInvestment banking pertains to certain activities of a financial services company or a corporate division that consist in advisory-based financial transactions on behalf of individuals, corporations, and governments.
Investment banking pertains to certain activities of a financial services company or a corporate division that consist in advisory-based financial transactions on behalf of individuals, corporations, and governments.
An advisor who provides investment banking services in the United States must be a licensed broker-dealer and subject to U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulation.
Credit rating agency
7 linksCompany that assigns credit ratings, which rate a debtor's ability to pay back debt by making timely principal and interest payments and the likelihood of default.
Company that assigns credit ratings, which rate a debtor's ability to pay back debt by making timely principal and interest payments and the likelihood of default.
As the market grew beyond that of traditional investment banking institutions, new investors again called for increased transparency, leading to the passage of new, mandatory disclosure laws for issuers, and the creation of the Securities and Exchange Commission (SEC).
Securities Act of 1933
3 linksEnacted by the United States Congress on May 27, 1933, during the Great Depression and after the stock market crash of 1929.
Enacted by the United States Congress on May 27, 1933, during the Great Depression and after the stock market crash of 1929.
It requires every offer or sale of securities that uses the means and instrumentalities of interstate commerce to be registered with the SEC pursuant to the 1933 Act, unless an exemption from registration exists under the law.
Financial Industry Regulatory Authority
5 linksPrivate American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets.
Private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets.
The U.S. government agency that acts as the ultimate regulator of the U.S. securities industry, including FINRA, is the U.S. Securities and Exchange Commission (SEC).
Franklin D. Roosevelt
3 linksAmerican politician and attorney who served as the 32nd president of the United States from 1933 until his death in 1945.
American politician and attorney who served as the 32nd president of the United States from 1933 until his death in 1945.
Other major 1930s legislation and agencies implemented under Roosevelt include the Securities and Exchange Commission, the National Labor Relations Act, the Federal Deposit Insurance Corporation, Social Security, and the Fair Labor Standards Act.
New Deal
3 linksSeries of programs, public work projects, financial reforms, and regulations enacted by President Franklin D. Roosevelt in the United States between 1933 and 1939.
Series of programs, public work projects, financial reforms, and regulations enacted by President Franklin D. Roosevelt in the United States between 1933 and 1939.
The largest programs still in existence today are the Social Security System and the Securities and Exchange Commission (SEC).
New York Stock Exchange
4 linksAmerican stock exchange in the Financial District of Lower Manhattan in New York City.
American stock exchange in the Financial District of Lower Manhattan in New York City.
On October 1, 1934, the exchange was registered as a national securities exchange with the U.S. Securities and Exchange Commission, with a president and a thirty-three-member board.
Sarbanes–Oxley Act
3 linksUnited States federal law that mandates certain practices in financial record keeping and reporting for corporations.
United States federal law that mandates certain practices in financial record keeping and reporting for corporations.
The sections of the bill cover responsibilities of a public corporation's board of directors, add criminal penalties for certain misconduct, and require the Securities and Exchange Commission to create regulations to define how public corporations are to comply with the law.