Financial Markets and the SEC - Case Study Example

Independent Auditors The company needs to appoint independent auditors as approved by the sec.... SEC Registration The company needs to complete registration with the sec and take approval for an IPO by submitting all relevant information in the prescribed format (A Guide to going public, 2013).... IPO in the US market necessitates that the company's Chief Executive Officer and Chief financial Officer has taken due care in establishing the effective internal control over financing reporting to the general public....

The first is the sec (Securities and Exchange Commission) and the second is the FDIC (Federal Deposit Insurance Corporation).... the sec basically handles the stock market of and the FDIC is responsible for the insurance of deposits at all commercial banks.... financial markets.... financial intermediaries as the term suggests, are people or organizations which help in the regulation of money in return for a share for themselves....

An essay "Regulatory Frameworks of the Equity markets of Australia and the USA" reports that physical trading on the exchange floor traditionally carried out by brokers, or specialists in an order-driven market are driving towards obsolescence and being outmoded by electronic systems.... hellip; Equity markets remain likely as the more competitive, inexpensive and highly liquid source of capital funds for publicly-traded corporations all across the globe.... The structure of organized exchanges and the trading policies imposed by regulatory bodies continue to influence the turnover of physical shares, price formation of equities and trading costs, while generally exerting pressure on the behavior of market participants and the overall competitiveness of securities markets....

hellip; The study will discuss how Nokia finances its operations using international capital markets both in short and long-term process.... Nokia uses the international capital markets to finance investments.... The analysis will be done on the effect of the financial crisis, the period of recession and economic booms, and technological advancement to the company.... First, let us discuss the change effects to the company as a result of financial crisis, economic boom and technological development....

(Young, 2003 p27)the sec does oversee many key participants in the world of securities, including exchanges of securities, securities dealers, investment advisors, and also mutual funds.... Loren, John and Jefferson,2010)sec stands for U.... Thus the actions of sec must be taken with an approach toward promotion of capital formation which is necessary for sustaining economic growth.... sec is concerned with promoting disclosure of market-related information, protecting against fraud and maintaining fair dealing....

Enforcement agencies were formed by the sec, Justice Department and Congress in an effort to punish offenders.... overnment efforts to clean up the mess began with the state of the Union address on 29th January 2002 by then President George Bush on the impact of corporate failures on markets and society.... financial markets after Enron and WorldCom collapseThe 1990s saw a tremendous stock market expansion in what was dubbed a tech bubble....

The main cause flash crash was a decline of cash, in relation to market securities proposed by the government (sec, 2010).... Cash dropped suddenly to zero levels and researchers when marketers left in 1962 because of significant finding by market specialists during that time (sec, 2010).... The phrase “like a balloon” means that the flash crash in the market is similar to a balloon when squeezed from one point the problem emerges from another point (sec, 2010)....

The Act that gave the sec power is known as the Securities and Exchange Act of 1934.... the sec poses very strict guidelines for companies to be able to get listed in any of the major exchanges in the United States.... nbsp;  The Security and Exchange Commission (sec) is the governing body in charge of overseeing all trading activity occurring in the United States of America.... It is my opinion that it is much easier for a foreign company to get listed in their own exchanges than it is for American companies to get listed on American soil due to sec restrictions....