Use LEFT and RIGHT arrow keys to navigate between flashcards;
Use UP and DOWN arrow keys to flip the card;
H to show hint;
A reads text to speech;
6 Cards in this Set
- Front
- Back
|
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 |
|
|
gf |
g |
