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B.A. PSYCHOLOGY, SOCIOLOGY AND ENGLISH Lecture Notes - U.S. Securities And Exchange Commission, Securities Regulation In The United States, Companies Act 2013

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tribbiani
13 May 2022
School
CHRIST (Deemed to be University)
Department
Humanities
Course
B.A. PSYCHOLOGY, SOCIOLOGY AND ENGLISH
Professor

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Document Summary

Unit 1- genesis and development of regulatory framework. Securities is a broad term that basically refers to any form of ownership or beneficial interest in a business entity. Securities law concerns the sale or transfer of these business interests. It explains the primary statutory and regulatory framework making up the securities law. It introduces the securities exchange commission and its objectives and functions in enforcing the securities laws. It explains the process of selling or transferring securities to the public, known as issuing securities, before moving on to the subsequent sale or exchange of securities in the public market, such as trading securities on public exchanges. Lastly, it reviews the major laws and forms of civil and criminal liability associated with violation of the securities laws. The issue of securities by corporate units in india is as old as the introduction of joint- stock enterprises by the british government.

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Related Questions

If the Fed sells government securities to the general public in the open market, the _____.

A. Fed gives the securities to the public; the public pays for the securities by writing checks that when cleared will increase commercial bank reserves at the Fed.

B. Fed gives the securities to the public; the public pays for the securities by writing checks that when cleared will decrease commercial bank reserves at the Fed.

C. public gives the securities to the Fed in exchange for a Fed check, which when deposited at commercial banks will increase their reserves at the Fed.

D. public gives the securities to the Fed in exchange for a Fed check, which when deposited at commercial banks will decrease their reserves at the Fed.

Regulation D of the Securities Laws Contains three rules relating to exempt securities. The three rules are 504, 505 and 506. Please explain the similarities and differences among these three rules

*List the due process steps followed by the FASB to establishfinancial accounting and reporting standards. You can find theanswer at fasb.org.

*List the purpose of forms 10-Q, 10-K, and 8-K that a U.S.registrant is required to file with the U.S. Securities andExchange Commission under the Securities and Exchange Act of1934.

*List the significant components of Form 10-Q and Form 10-Kfiled with the U.S. Securities and Exchange Commission.