What is the Securities and Exchange Commission for?
140506
Joseph Kennedy actually made a fortune by playing all kinds of tricks with the wall street markets and using all the loop holes that were available. essentially the SEC got started when Franklin D Rooselvelt placed Kennedy as the SEC chairman to essentially write laws to stop people from doing exactly what Kennedy had done with the system in order to manipulate it to his benefit.
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It's a Conspiracy!\n\nYou spend hundreds of words complaining, but offer no real specifics, nor a solution. What is it that is illegal about selling short? You don't tell us anything but wa wa wa.\n\nYou seem rather knowledgeable about the subject, so you must know that these short traders provide liquidity to the markets, and they must cover at some point, provididing an artificial rally. When they get caught in a short squeeze you probably don't complain.\n\nYou sound like one of those typical people whom Norman Vincent Peale remarked about:\n\n"Americans used to roar like lions for liberty. Now we bleat like sheep for security." --
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NASDAQ (originally an acronym for National Association of Securities Dealers Automated Quotations ) is a U.S. electronic stock market. It was founded by the National Association of Securities Dealers (NASD) who divested it in a series of sales in 2000 and 2001. It is owned and operated by The Nasdaq Stock Market, Inc. NASDAQ: NDAQ which was listed on its own stock exchange in 2002. NASDAQ is the largest electronic screen-based equity securities market in the United States. With approximately 3,300 companies, it lists more companies and, on average, trades more shares per day than any other U.S. market. The current chief executive is Robert Greifeld.\n\nThe American Stock Exchange (AMEX) is a stock exchange operated by American Stock Exchange LLC, a subsidiary of the NASD, in the United States of America.\n\nhe Exchange traces its roots back to colonial times when stock brokers created outdoor markets to trade new government securities. The AMEX started out as such a market at the curbstone on Broad Street near Exchange Place. The curb brokers gathered around the lamp posts and mail boxes, resisting wind and weather, putting up lists of stocks for sale. As trading activity increased, the shouting reached such a high level that special hand signals had to be introduced so that the brokers could continue trading. In 1921 the market was moved indoors into the building where it still resides, and the hand signals remained in place for decades even after the move.\n\nIn 1998, the American Stock Exchange merged with the National Association of Securities Dealers (operators of NASDAQ) to create "The Nasdaq-Amex Market Group" where AMEX is an independent entity of the NASD parent company.\n\nOut of the three major American stock exchanges, the AMEX is known to have the most liberal policies concerning company listing, as most of its companies are generally smaller compared to the NYSE and NASDAQ. Located next to the World Trade Center, it was tragically affected by the September 11, 2001 attacks, but has recovered well since then.
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Check out the exchange allowing those trades and then ask them about the brokers who are members.
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http://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=0001326380&owner=include
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I guess you mean technical analysis for securities with respect to investment decisions. If you are new to finance, I recommend this link: http://www.investopedia.com/university/technicalanalysis/
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It is "United states investigations services". They provide security personnel to corporations and government. They do stuff like security guards, computer security consulting, etc.
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SECURITIES AND EXCHANGE COMMISSION \n17 CFR PARTS 228 and 229 \n\n[RELEASE NOS. 33-8177A; 34-47235A; File No. S7-40-02] \n\nRIN 3235-AI66 \n\nDISCLOSURE REQUIRED BY SECTIONS 406 AND 407 OF THE SARBANES-OXLEY ACT OF 2002; CORRECTION \n\nAGENCY: Securities and Exchange Commission. \n\nACTION: Corrections to final regulations. \n\nSUMMARY: We are making technical corrections to rules adopted in Release No. 33-8177 (January 23, 2003), which were published in the Federal Register on January 31, 2003 (68 FR 5110). The rules implement Sections 406 and 407 of the Sarbanes-Oxley Act of 2002 by requiring disclosures regarding audit committee financial experts and codes of ethics. This document amends an instruction to the rule to clarify that disclosures regarding audit committee financial experts are required only in annual reports. \n\nEFFECTIVE DATE: March 31, 2003 \n\nFOR FURTHER INFORMATION CONTACT: Ray Be, Special Counsel, Office of Rulemaking, Division of Corporation Finance, at (202) 942-2910, U.S. Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0312. \n\nSUPPLEMENTARY INFORMATION: \n\nI. Background\nOn January 23, 2003, the Commission adopted,1 among other things, amendments to Item 401 of Regulations S-K and S-B.2 These rules require disclosure of whether a company has an audit committee financial expert, as defined in the rule, serving on its audit committee. \n\nSubsequent to the adoption of the amendments, questions arose regarding whether the disclosures required by the new disclosure item must be provided in registration statements under the Securities Act of 19333 and the Securities Exchange Act of 1934.4 Although the discussion of these provisions in the adopting release makes clear that such disclosure is required only in a company's annual report, the new disclosure item did not clearly state that such disclosure is required only in annual reports. \n\nAccordingly, the amendments set forth in this document clarify that the rules require disclosure of whether a company has an audit committee financial expert serving on its audit committee only in an annual report. Although this disclosure is not required in any document other than the annual report, a company may, at its discretion, include the audit committee financial expert disclosure in its proxy or information statement and incorporate that disclosure into its annual report if it complies with applicable rules for incorporation by reference. The changes are technical corrections to clarify the rules as described in the original adopting release, and do not alter the forms in which the disclosure is required as described in the original adopting release. \n\nII. Need for Correction\nAs published, the final regulations contain errors which are in need of clarification. \n\nIII. Correction of Publication\nAccordingly, the publication on January 31, 2003 of the final rules (Release No. 33-8177) relating to the disclosure of whether a company has an audit committee financial expert serving on its audit committee and whether a company has adopted a code of ethics for its principal executive officer, principal financial officer, principal accounting officer and controller, which were the subject of FR Doc. 03-2018, is corrected as follows: \n\n§ 228.401 [Corrected] \n\nOn page 5126, in the first column, paragraph 1 to Instructions to Item 401(e) of §228.401 is corrected to read as follows: \n\n* * * * * \n\nInstructions to Item 401(e) \n\n1. The disclosure under Item 401(e) is required only in a small business issuer's annual report. The small business issuer need not provide the disclosure required by this Item 401(e) in a proxy or information statement unless that small business issuer is electing to incorporate this information by reference from the proxy or information statement into its annual report pursuant to general instruction E(3) to Form 10-KSB. \n\n* * * * * \n\n§ 229.401 [Corrected] \n\nOn page 5127, in the third co
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visit this link It contains all what you need\nthanks\n\nhttp://www.tdd.lt/slnews/Stock_Exchanges/Stock.Exchanges.html
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The stock exchanges play a role, but they really do not have any other influence except that of facilitating the buying and selling of securities. I really don't understand what you mean when you say "consolidate activities."  But if you are referring to the consolidation of the banking sector, it has already begun. For example, JP Morgan & Chase,  JP MorganChase and Bank One.  You get the picture?  The role of the exchange in this situation was to facilitate the merging of shares between these individual banks into one share to be traded on the Stock Exchange.
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this one is even bigger\n\nhttp://www.sec.gov/news/press/2006-26.htm\n\n  \nSEC Halts “Paid Autosurf” Internet Ponzi Scheme that Raised Over $50 Million from 300,000 Investors Worldwide\nFOR IMMEDIATE RELEASE\n2006-26\n\nWashington D.C., Feb.27, 2006 — The Securities and Exchange Commission today announced the filing of securities fraud charges against the operators of www.12dailypro.com, a “paid autosurf program” that in fact was a massive Ponzi scheme which raised more than $50 million from over 300,000 investors worldwide by offering a 44% return on investment in just 12 days. As a result of the SEC’s charges, the defendants, Charis Johnson, age 33, of Charlotte, N.C., and her companies, 12daily Pro and LifeClicks, LLC, ceased their solicitation of investors and agreed to a freeze of all their assets and the appointment of a receiver who will take control of the companies’ operations.\n\nAccording to the Commission’s complaint, which was filed last week in federal district court in Los Angeles, Calif., www.12dailypro.com claimed to be a paid autosurf program — a form of online advertising program that purportedly generates advertising revenue by automatically rotating advertised websites into a viewer’s Internet browser. Advertisers purportedly pay “hosts,” which in turn pay their members to view the rotated websites. The Commission’s complaint alleges that 12daily Pro’s sale of membership units constituted the fraudulent and unregistered sale of securities under the federal securities laws. The Commission also today posted to its Web site an investor alert concerning autosurf programs. The alert can be viewed at www.sec.gov/investor/pubs/autosurf.htm.\n\nRandall R. Lee, Regional Director of the Commission’s Pacific Regional Office, said, “Paid autosurf programs have become an enormous industry on the Internet. When these schemes depend on attracting new members in order to pay returns to current members, they are destined to collapse. The promise of guaranteed, double-digit returns in a matter of days should raise a red flag. We urge the public to be aware that paid memberships in these schemes may be a form of investment, and to exercise extreme caution before investing in any get rich quick scheme.”\n\nAccording to the Commission’s complaint, the 12daily Pro website, recently ranked as the 352nd most heavily trafficked website, solicited investors to become “upgraded members” by buying “units” for a “fee” of $6 per unit, with a maximum of 1,000 units. 12daily Pro promised to pay each upgraded member 12% of his or her membership fee per day for 12 days. At the end of 12 days, the member purportedly would have earned a total of 144% of his or her original membership fee, 44% of which would be profit on the membership fee. To receive the promised payment, a member purportedly must view at least 12 web pages per day during the 12 day period. The amount of returns that 12daily Pro would pay its members, however, was in fact dependent solely on the amount of each member’s investment, not on the amount of website-viewing or any other services rendered.\n\nThe Commission alleges that the defendants defrauded investors by operating 12daily Pro as almost a pure Ponzi scheme — using new investor monies to pay the promised returns to existing investors — in violation of the federal securities laws. The defendants falsely represented that upgraded members’ earnings “are financed not only [by] incoming member fees, but also with multiple income streams including advertising, and off-site investments.” In fact, at least 95% of 12daily Pro’s revenues have come from new investments in the form of membership fees from new or existing members. The other “multiple income streams” from advertising revenues or off-site investments touted by the defendants were either negligible or non-existent. In addition, undisclosed to investors, Johnson transferred more than $1.9 million in
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there has to be a transfer agent! you may have to call the company to find out. If not then try the Edgar archives in the SEC to research the company involved.
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That's correct, the broker makes his/her commission on the spread or bid/ask
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Specialists make money on the small spread between the bid and ask prices on the stocks they manage. Usually they are buying at the "bid" price and selling at the "ask" price.
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There are lots of costs and fees and data charges and computer expenses and software expenses, and even small commissions are a large percentage of a small amount.\n\nTry virtual trading with a simulator at Investopedia.com\nLots of fun and informative.\n\nGood luck.
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Checkout this site\n\nhttp://www.securities.com/search_campaign.html?ui_lang=EN&how_hear=110&spage=10266
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There are two fund families that promote short selling strategies.\n  They are Rydex Funds, and Pro-Funds\n  Obviously the government permits it AS LONG AS THE CUSTOMER HAS BEEN INFORMED OF IT.  IT IS LISTED IN THE FUND PROSPECTUS.\n  Additionally, typical hedge funds participate in these actions.