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Търговия с пазарите на ценни книжа в САЩ се регулира от огромен брой закони и подзаконови актове, включително Закона за ценните книжа на 1933, и Закона за ценните книжа, Закона за размяна на 1934, Закона за ценните книжа на 1933 години, изисква пълно разкриване на информация, свързана с издаването на нова ценни книжа. Той предвижда за регистрация на нови ценни книжа и публикуването на проспект, който съдържа подробно описание на финансовите перспективи на дружеството емитент. Одобрение SEC проспект или финансов отчет не указва, че съответните ценни книжа - една добра инвестиция.SEC се грижи само за печелене на дружеството-емитент е предоставил цялата необходима информация в такива случаи. Оценката на инвестиционната привлекателност на ценните книжа трябва да направи инвеститорите си. Съгласно Закона за ценните книжа и борсите на година 1934 се установяватКомисията по ценните книжа и борсите (ценни книжа и борси Комисия - SEC), Която е трябвало да осигури спазването на разпоредбите на Закона за ценните книжа на година 1933. Закона за размяна на година 1934 разширява тълкуването на принципа на "разкриване", съдържаща се в Закона за ценните книжа на 1933 години, което изисква периодично оповестяване на съответната финансова информация на компанията, вече издадени ценни книжа се търгуват на вторичните пазари. Закона за размяна на година 1934 също дава SEC правото да се регистрират и регулират фондовите борси, търговия на извън регулиран пазар, дейноститеБрокери и дилъри. Тъй като административен орган, отговарящ за широк надзор на пазарите на ценни книжа, акции SEC тази отговорност с други регулатори. Комисията Futures (Futures) Exchange търговия (стокови фючърси Трейдинг Комисията - CFTC) Регулира търговията с фючърсни пазари, и на Федералния резерв е отговорен за състоянието на финансовата система на САЩ като цяло. В тази си роля, Федералният резерв определя маржин изискванията за търговия с акции и опции върху тях и да уреди отпускането на заеми от банките, участващи пазарите на ценни книжа. Законът за защита на интересите на инвеститорите на фондовия пазар от 1970 Corporation, създадена за защита на инвеститорите в ценни книжа (ценни книжа Investor Corporation защита - АДСИЦ), Предназначена за защита на инвеститорите в случай на загуби в случай на фалит на брокерски фирми. По същия начин, както на Federal Deposit Insurance Corporation (Federal Deposit Insurance Corporation) осигурява защита на вложителите на федерално ниво на банковите фалити, АДСИЦ гарантира, че инвеститорите получават техните ценни книжа, регистрирани на името на фалиралата брокерска фирма (в рамките до хиляди долари на 500 всеки клиент). АДСИЦ се финансира от така наречените "премиум" се заплащат от брокерска фирма, която е член на корпорацията. АДСИЦ могат да заемат пари от SEC, ако със собствени средства не са достатъчни за изпълнение на поетите ангажименти. В допълнение към федералните закони, търговията с ценни книжа е подчинено на законодателството на съответната държава. Като цяло, тези закони се наричат законодателствата на ясното небе (синьо небе закони), тъй като тяхната цел - да се даде възможност на инвеститорите да разберат по-ясно своите инвестиционни перспективи. В законите на отделните държави, за борба с измамите при покупко-продажба на ценни книжа, които са съществували преди появата на Закона за ценните книжа на година 1933. Разнообразие от законодателствата на отделните държави до известна степен обедини след много държави са приели някои разпоредби на единните ценни книжа, който влезе в сила в 1956 години. Всички брокери, които представляват компанията GT Capital Group, са членове на АДСИЦ и средствата си, както и ресурси на компанията са защитени от всякакви непреодолима сила или несъстоятелност на брокера.
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Prospectus:1:a formal written offer to sell securities (filed with the SEC) that sets forth a plan for a (proposed) business enterprise; 2:a catalog listing the courses offered by a college or university. More Info: securities Financial economics is the branch of economics concerned with "the allocation and deployment of economic resources, both spatially and across time, in an uncertain environment". It is additionally characterised by its "concentration on monetary activities", in which "money of one type or another is likely to appear on both sides of a trade". The questions within financial economics are typically framed in terms of "time, uncertainty, options, and information". A topic of general interest studied in recent years has been financial crises. A stock market or equity market is the aggregation of buyers and sellers (a loose network of economic transactions, not a physical facility or discrete entity) of stocks (shares); these are securities listed on a stock exchange as well as those only traded privately. Stocks are partitioned in various ways. One common way is by the country where the company is domiciled. For example, Nestle, Roche, and Novartis are domiciled in Switzerland, so they are part of the Swiss stock market. Investment Finance Prospectus Securities regulation in the United States is the field of U.S. law that covers various aspects of transactions and other dealings with securities. The term is usually understood to include both federal- and state-level regulation by purely governmental regulatory agencies, but sometimes may also encompass listing requirements of exchanges like the New York Stock Exchange and rules of self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA). On the Federal level, the primary securities regulator is the Securities and Exchange Commission (SEC). However, Futures and some aspects of derivatives are regulated by the Federal Commodity Futures Trading Commission (CFTC). FINRA is a self-regulatory organization that promulgates rules that govern brokers and dealers and certain other kinds of professionals in the securities industry. It was formed by the merger of the enforcement divisions of the National Association of Securities Dealers (NASD) and the New York Stock Exchange. FINRA, like the exchanges, is overseen by the SEC, and FINRA's rules are generally subject to SEC approval. An SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies, certain insiders, and broker-dealers are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. Many, but not all SEC filings are available online through the SEC's EDGAR database. A red herring prospectus, as a first or preliminary prospectus, is a document submitted by a company (issuer) as part of a public offering of securities (either stocks or bonds). Most frequently associated with an initial public offering (IPO), this document, like the previously submitted Form S-1 registration statement, must be filed with the Securities and Exchange Commission (SEC). A red herring prospectus is issued to potential investors, but does not have complete particulars on the price of the securities offered and quantum of securities to be issued. The front page of the prospectus displays a bold red disclaimer stating that information in the prospectus is not complete and may be changed, and that the securities may not be sold until the registration statement, filed with the market regulator, is effective. Potential investors may not place buy orders for the security, based solely on the information contained within the preliminary prospectus. Those investors may, however, express an "indication of interest" in the offering, provided that they have received a copy of the red herring at least 48 hours prior to the public sale. After the registration statement becomes effective, and the stock is offered to the public, indications of interest may be converted to purchase orders, at the buyer's discretion. The final prospectus must then be promptly delivered to the buyer. 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, 48 Stat. 74, enacted 1933-05-27, 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]clarification needed[ added a new Section 18 to the '33 Act which preempts blue sky law merit review of certain kinds of offerings. Finance is the allocation of assets and liabilities over time under conditions of certainty and uncertainty. A key point in finance is the time value of money, which states that a unit of currency today is worth more than the same unit of currency tomorrow. Finance aims to price assets based on their risk level, and expected rate of return. Finance can be broken into three different sub categories: public finance, corporate finance and personal finance. Education The U.S. Securities and Exchange Commission (SEC) is an agency of the United States federal government. It holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other things, including the electronic securities markets in the United States. In addition to the Securities Exchange Act of 1934 that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes. The SEC was created by Section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. § 78d and commonly referred to as the Exchange Act or the 1934 Act).