Levels Tought:
Elementary,Middle School,High School,College,University,PHD
Teaching Since: | May 2017 |
Last Sign in: | 305 Weeks Ago, 4 Days Ago |
Questions Answered: | 66690 |
Tutorials Posted: | 66688 |
MCS,PHD
Argosy University/ Phoniex University/
Nov-2005 - Oct-2011
Professor
Phoniex University
Oct-2001 - Nov-2016
Purpose: Learn about the SEC.
Instructions
Answer the following questions.
(a) How many enforcement actions does the SEC take each year against securities law violators? What are typical infractions?
(b) After the Depression, Congress passed the Securities Acts of 1933 and 1934 to improve investor confidence in the markets. What two “common sense” notions are these laws based on?
(c) Who was the President of the United States at the time of the creation of the SEC? Who was the first SEC Chairperson?
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