Which are the Federal and State Securities Authorities?

Q: What was the primary reason for the establishment of the 1933 Securities Act and the 1934 Securities…

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Q: How does the SEC generate revenues?

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Q: - Which of the following is the basis for fixing the price of securities in the financial market?…

A: Government is a regulatory body and doesn't fix the price of the security. Option a. is incorrect.…

Q: is a government-authorized agency created to enforce the 1933 Securities Act.

A: After the market crash in 1929, the Securities Exchange Commission enacted the 1933 SA to protect…

Q: What is the requirement on Federal Truth-in-Lending (FTL)?

A: Following are the requirements of Federal Truth-in-Lending (FTL):   The financial data: The plan of…

Q: what are the requirements for registration for TMCs/TAs with the Securities and Exchange Commission

A: Securities and Exchange Commission means the board which control all the activities of a company .…

Q: Why were federal securities laws originally enacted by Congress?

A: Managerial accounting:   Managerial accounting is more focused towards analyzing information and…

Q: What are some of the exempt securities in investor protection and why do we need these securities…

A: Securities are the financial instruments whose holders have the claim over the issuing authority.…

Q: Discuss the primary differences between U.S. GAAP and IFRS with respect to investments.

A: GAAP: It is the standard guidelines that are commonly used for financial reporting. These guidelines…

Q: Define Trading securities.

A: Investment: It refers to the process of using the currently held excess cash to earn profitable…

Q: What is a private placement of securities?

A: Definition:   Debt securities: The financial instruments which are bought by investors, or…

Q: Explain the origin and expansive role of the Securities and Exchange Commission.

A: Answer: Origin and expansive role of Securities and Exchange Commission: The Securities and Exchange…

Q: Discuss the primary differences between U.S. GAAP and IFRS with respect to accounting for…

A: Generally Accepted Accounting Principles:   GAAP (Generally Accepted Accounting Principles) is a…

Q: State the purposes for which the securities premium reserve can be utilised.

A: Securities premium:Securities premium is the gain earned by the company, by issuing a share of a…

Q: What agencies regulate securities markets?

A: Securities market: That is the place securities exchanging, for example, stocks and bonds, happens…

Q: Securities that are registered at the U.S. Federal level are not subject to U.S. state governments…

A: There are various laws governing securities

Q: Explain how securities markets provide a link between the corporation and investors.

A: Investment means engaging the funds to generate income for the future. Those who invest their funds…

Q: What is the role of the Securities and Exchange Commission? Why are securities laws frequently…

A: Securities and Exchange Commission is a federal independent agency of United States which is…

Q: What does the Securities Exchange Act of 1934 cover?

A: Securities exchange Act of 1934 was designed to protect against unfair and inequitable practices in…

Q: Briefly explain the role of underwriters in the issuance of securities.

A: An underwriter is referred to as the party, which used to evaluate as well as assume that another…

Q: How does the information that a registered stock exchange mustdisplay and report differ from that of…

A: Registered stock exchange help in allowing the licensed stock exchange to execute in a way that…

Q: Differentiate between marketable securities held for operating (transactions) purposes and…

A: Marketable securities are short-term liquid Assets that can be liquidated to cash quickly. These…

Q: Describe the purpose(s) of various federal securities laws.

A: Security law is a group of regulation that are framed and govern for the  issuance of securities.…

Q: What are some SEC regulations regarding sales of new securities?

A: The question is based on the concept regulation by the Securities and Exchange Commission for issue…

Q: Which of the following is rated by most securities rating services? Market risk Quality Quantity…

A: Market risk is the risk of change in prices because of market factor and volatility, and this…

Q: How were UBI's shareholders' funds and capital sensitive to various regulatory norms?

A: Regulatory Standards lay down all the laws, norms, and regulatory authority who regulates financial…

Q: Name two reasons that requiring more disclosure in the securities market is helpful.

A: Disclosure means making the information or facts about the company known to the public, customers…

Q: Define Available-for-Sale Securities

A: Available for sale securities are treated as a current asset and shown at fair value on balance…

Q: What does the Securities Act of 1933 cover?

A: Securities and Exchange Commission (SEC): SEC is an independent organization of the federal…

Q: How its GAAP and IFRS is suitable for corporate entities?

A: GAAP: The full form for GAAP is generally accepted accounting principles. It refers to the…

Q: Write a note on Three primary means companies use to offer securities to the general public?

A: Securities are the tradeable financial instruments that are bought and sold in the financial markets…

Q: is a government-authorized agency created to enforce the 1933 Securities Act. A) The Securities and…

A: To control the securities, securities act 1933 was passed.

Q: What was established as a result of the passage of the Dodd Frank law by Congress to provide…

A: The answer for the theory question on the passage of Dodd Frank law is presented hereunder : The…

Q: Define Securities and Exchange Commission (SEC)

A: The SEC was established in 1934 by the reference of The securities exchange act,1934 in response to…

Q: What is meant by securities exchange?

A: A stock exchange, usually known as a securities exchange. This is a market where the stockbrokers…

Q: Discuss the objectives of the Securities Act of 1933 and the Securities Exchange Act of 1934. How…

A: Securities and Exchange Commission (SEC): SEC is a governmental agency that has the legal power, for…

Q: procedure for selling its securities

A: Securities are sold by both private individuals, firms, or the government. The procedure for selling…

Q: A core objective of the International Organization of Securities Commissions is to: B . protect…

A: International Organization of Securities Commission is an international body that regulates the…