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Securities and Exchange Commission
protects investors-maintains fair and efficient markets- all investors should have info abt their investment before they buy it.
Securities Act of 1933
authorizes SEC to regulate the trading, securities, fraud, supervise mutual funds
-authority over security fraud cases, power to punish those who violate foreign securities, also can exempt ppl from some requirements of laws
Sarbanes-Oxley Act
for publicly traded companies only; makes sure to increase corp accountablity- requires that the CEO and CFO of a firm must certifiy the truth in their financial statements- and no personal loans to officers or directors
Security
includes a note, stock, bond, evidence of indebtedness, which shares an agreement (stocks and bonds issued by a corp)
Registration Statement
Must be used if the corp wants to go public or sell stock to the public
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