Essays Tagged: "SEC"
Commercial Paper - why to invest.
gation issued by a corporation or a bank to finance its short term credit needs. It can be either unsecured or asset-backed. Maturities can range from 2 to 270 days. It is available in many denominati ... denominations, can be either discounted or interest bearing, and usually has a small or nonexistent secondary market. It is issued by companies with high credit ratings and therefore considered to be ...
Subjects: Businesss Research Papers > Markets & Exchanges
Equity, Cash Flow, and Notes Analysis Paper of Samsung Electronics
reasingly powerful brand. Despite the unfavorable business environment, Samsung Electronic posted a second record-breaking year in a row in 2003. (Annual Report 2003) They were able to maintain the hi ... of Cash Flow reports 3,446,700 in Cash and Cash Equivalents at the end of the year 2003. The first section of the Statement of Cash Flows reports the cash from operating activities. The first line it ...
Subjects: Businesss Research Papers > Accounting
Ethical and Legal Obligations in Accounting
As in different areas of their day-to-day professional activities. The main parts of the Code are:* Section 50 - Principles of Professional Conduct* Section 90 - Rules: Applicability and Definitions* ... 90 - Rules: Applicability and Definitions* Section 100 - Independence, Integrity, and Objectivity* Section 200 - General Standards Accounting Principles* Section 300 - Responsibilities to Clients* Se ...
Subjects: Businesss Research Papers > Accounting
Accounting: Ethics and Legal Obligation
ment of Auditing Standard (SAS) No. 69. The statement is in two hierarchs, one deal with the public sector of accounting and the other on deals with the private sector. One of the ways the government ... ess the following accounting regulatory bodies; the Financial Accounting Standard Board (FASB), the Security Exchange Commission and Public Company Accounting Oversight Board (PCAOB).The Financial Acc ...
Subjects: Businesss Research Papers > Accounting
Full Disclosure Paper
sight Board (PCAOB) in order to regulate those who audit public companies financial statements. The Securities Exchange Commission (SEC) has oversight over the PCAOB. The PCAOB serves a regulatory fun ... s: registration suspension or revocation, cease and desist orders, censures, fines, and criminal prosecution.The full disclosure principle and its support from the SEC and SOX are vital to a healthy e ...
Subjects: Businesss Research Papers > Accounting
Federal Rules and Regulations that apply to Techno Products, Inc.
IntroductionUnder the federal rules and regulations, the Security Act of 1933 governs the initial issuance and registration of securities, as opposed to the ... of 1934 which governs financial reporting, and the registration of people involved with the sale of securities. The enforcement authority given by Congress allows the SEC to bring civil enforcement ac ... ounting fraud, provided false information, or engaged in insider trading or other violations of the securities law. They also work with criminal law enforcement agencies to prosecute individuals and c ...
Subjects: Businesss Research Papers > Case Studies
Untitled
Morgan Bennett Mr. Harris History Honors- Per 5 April 2001 The Securities and Exchange Commission In 1934 the Securities Exchange Act created the SEC (Securities a ... the Great Depression of the 1930s. It was created to protect U.S. investors against malpractice in securities and financial markets. The purpose of the SEC was and still is to carry out the mandates ... ies and financial markets. The purpose of the SEC was and still is to carry out the mandates of the Securities Act of 1933: To protect investors and maintain the integrity of the securities market by ...
Subjects: Businesss Research Papers > Accounting
The emergence of on-line tradi
und information on this industry. As of September 1998, there were 5,591 firms in the industry. The Securities and Exchange Commission (SEC) and the NASD Regulation (NASDR) regulate these firms. "The ... ng rules governing its broker/dealer members' business conduct; setting qualification standards for securities industry professionals: examining members for their financial and operational condition, ...
Subjects: Social Science Essays > Economics
Roles of Regulatory Organization
have to be very careful when investing their money. This is where federal agencies such as the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) can hel ... ies and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) can help. The SEC and the CFTC try to protect investors from fraud and abusive trade practices. There are also sel ...
Subjects: Businesss Research Papers > Accounting
Securities and Exchange Commission
The U.S. Securities and Exchange Commission also known as "the SEC" is an Agency that was created by the Fede ... ission also known as "the SEC" is an Agency that was created by the Federal Government in 1934. The SEC was created a few years after the historical Great Depression of 1929 in hopes that the public c ... e Government was doing everything it could to restore the balance in our country's stock market.The SEC's mission statement "is to protect investors, maintain fair, orderly, and efficient markets, and ...
Subjects: Businesss Research Papers
Accounting Regulatory Bodies Paper
ion complies with the standards of the regulatory bodies. The Financial Accounting Standards Board, Securities and Exchange Commission, Governmental Accounting Standards Board, and the Public Company ... professionals who adhere to the GAAP and govern the preparation of corporate financial reports. The SEC requires all publicly held companies to abide by the guidelines and rules set by the GAAP. The F ...
Subjects: Businesss Research Papers
Lowe's Inc.
we's, Inc. Lowe's, Inc., is listed in Fortune 500 among America's top ranking businesses and is the second-largest home improvement retailer in the United States (trailing Home Depot Inc.), holding ap ... f Lowe's financial environment and to identify the process the organization uses to comply with the Security and Exchange Commission. Further, the paper provides an evaluation of Lowe's financial perf ...
Subjects: Businesss Research Papers > Accounting
Accounting Ethics
n enforceable code of ethics. A code of ethics is a crucial part in forming a professional.The U.S. Securities and Exchange Commission is the United States governing body which has primary responsibil ... United States governing body which has primary responsibility for overseeing the regulation of the securities industry. The SEC has five Commissioners who are appointed by the President of the United ...
Subjects: Businesss Research Papers > Accounting
Ethics
es such as Enron and WorldCom, the enactment of the Sarbanes-Oxley Act of 2002, administered by the Securities and Exchange Commission (SEC), has mandated stricter code of conduct requirements regardi ... to act in a lawful and ethical manner, and in the best interest of the company. As required by the Securities and Exchange Commission (SEC), all financial statements and records must be detailed, and ...
Subjects: Law & Government Essays > Law
The Sarbanes-Oxley Act of 2002
rs losing millions upon millions of dollars, but it really diminished everybody's confidence in the securities markets. Realizing that change had to be made and looking to restore the nation's confide ... epth what aided in the creation of the Sarbanes-Oxley Act of 2002, what the law protects, important sections of the bill, and what some of the positive and negative effects of the bill are.Before Sarb ...
Subjects: Businesss Research Papers