• What does The Securities and Exchange Commission do?

    Any questions? The Securities and Exchange Commission is a government entity created to regulate the trading in securities such as stocks and bonds. The "SEC" as it is known was created after the Great Depression to protect the public by regulating the trading in stocks and bonds. The goal is for the average investor, Joe Q, to have access to the same information as the executives who oversee or work for the public companies that are traded on the exchanges. All public companies must file their results with the SEC on a periodic basis, usually each quarter so that the public has access to the same information as the company executives. Also, the SEC makes sure that the "insiders" who work for the companies, do not have an unfair advantage to invest or trade in securities based on "inside"...

    published: 14 Feb 2013
  • What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance

    Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operat...

    published: 17 Nov 2015
  • SEBI | Securities and Exchange Board of India | all about SEBI

    Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations. #SEBI Securities Exchange Board of India (SEBI) was set up in 1988 to regulate the functions of securities market but it was not able to exercise complete control over the stock market transactions. It became an autonomous body by The Government of India on 12 April 1992 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament. SEBI has its Head Quarters at the business district of Bandra Kurla Complex in Mumbai, and has regional offices in New...

    published: 10 Feb 2017
  • How The Stock Exchange Works (For Dummies)

    Why are there stocks at all? Everyday in the news we hear about the stock exchange, stocks and money moving around the globe. Still, a lot of people don't have an idea why we have stock markets at all, because the topic is usually very dry. We made a short video about the basics of the stock exchanges. With robots. Robots are kewl! Short videos, explaining things. For example Evolution, the Universe, the Stock Market or controversial topics like Fracking. Because we love science. We would love to interact more with you, our viewers to figure out what topics you want to see. If you have a suggestion for future videos or feedback, drop us a line! :) We're a bunch of Information designers from munich, visit us on facebook or behance to say hi! https://www.facebook.com/Kurzgesagt https:/...

    published: 28 Nov 2013
  • 21. Exchanges, Brokers, Dealers, Clearinghouses

    Financial Markets (2011) (ECON 252) As the starting point for this lecture, Professor Shiller contrasts the view of economics as the theory of the allocation of scarce resources with the view of economics as the study of exchange. After a discussion of the difference between brokers and dealers, he outlines the history of securities exchanges from ancient Rome, to the Amsterdam Stock Exchange and Jonathan's Coffee House in London, until the formation of the New York Stock Exchange. He complements this historic account with an overview of securities exchanges all over the world, covering India, China, Brazil, and Mexico. An example of a limit order book allows him to elaborate on the mechanics of trading at the National Association of Securities Dealers Automatic Quotation System (NASDAQ)....

    published: 05 Apr 2012
  • 79. The Difference Between Over the Counter (OTC) and Exchange-Based Markets

    Practice trading with a free demo account: http://bit.ly/IT-forex-demo3 View full article: http://www.informedtrades.com/20797-difference-between-exchange-traded-over-counter-markets.html When trading stocks or futures you normally do so via a centralized exchange such as the New York Stock Exchange or the Chicago Mercantile Exchange. In addition to providing a centralized place where all trades are conducted, exchanges such as these also play the key role of acting as the counterparty to all trades. What this means is that while you may be buying for example 100 shares of Google stock at the same time someone else is selling those shares, you do not buy those shares directly from the seller but instead from the exchange. The fact that the exchange stands on the other side of all trades...

    published: 03 Apr 2008
  • SEC Declares ICO Tokens & Offerings "Securities" And What It Means For You!

    Sign up for official Crypto Currency Trading Course! ➨ Save 10% When You Use The Discount Code "news" ➨ Click to sign up now! http://learncrypto.io/ref/course/ MAKE SURE TO LIKE, SUBSCRIBE AND SHARE! === Official Website & Contact Info === Official Website & Submit Articles ➨ http://www.getcryptonews.com Contact Email ➨ contact@getcryptonews.com === IMPORTANT LINKS! === ➨ Buy $100 Worth Of Bitcoin and Get $10 Worth Of Bitcoin Free By Joining Coinbase https://www.coinbase.com/join/531113410ca19314cf0001b5 ➨ Get Your Own Crypto Hardware Wallet To Store Your Coins https://www.ledgerwallet.com/r/0d29 === Crypto News Disclaimer === The content of this Youtube page is published in the United States of America and persons who access it agree to do so in accordance with applicable U.S...

    published: 26 Jul 2017
  • The Stock Market Explained Simply: Finance and Investing Basics - Animated Film (1957)

    The New York Stock Exchange (sometimes referred to as "the Big Board") provides a means for buyers and sellers to trade shares of stock in companies registered for public trading. The NYSE is open for trading Monday through Friday from 9:30 am -- 4:00 pm ET, with the exception of holidays declared by the Exchange in advance. The NYSE trades in a continuous auction format, where traders can execute stock transactions on behalf of investors. They will gather around the appropriate post where a specialist broker, who is employed by an NYSE member firm (that is, he/she is not an employee of the New York Stock Exchange), acts as an auctioneer in an open outcry auction market environment to bring buyers and sellers together and to manage the actual auction. They do on occasion (approximately 10...

    published: 16 Apr 2014
  • Securities Act of 1933

    United States Congress enacted the Securities Act of 1933 (the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, or the '33 Act, Title I of Pub. L. 73-22, 48 Stat. 74, enacted May 27, 1933, codified at 15 U.S.C. § 77a et seq.), in the aftermath of the stock market crash of 1929 and during the ensuing Great Depression. Legislated pursuant to the interstate commerce clause of the Constitution, it requires that any offer or sale of securities using the means and instrumentalities of interstate commerce be registered with the SEC pursuant to the 1933 Act, unless an exemption from registration exists under the law. "Means and instrumentalities of interstate commerce" is extremely broad, and it is virtually impossible to avoid the operation of this statute by...

    published: 30 Oct 2014
  • ICAP Securities and Derivatives Exchange | Main Stage | Master Investor 2016

    Talk Title: Alternative market venues for public companies Patrick Birley, CEO of inter-dealer broker ICAP Securities and Derivatives Exchange, presents at Master Investor 2016. In his talk, Patrick looks at the current state of investment exchanges in the UK, and introduces his business as a route for companies to gain access to public market financing. Master Investor is the UK's leading investment show with 15 years' experience in delivering the standout event of the investment calendar. 2016's packed out event took place on Saturday April 23rd and was hosted in central London. For more information and to download the accompanying presentation slides please visit http://masterinvestor.co.uk/show/2016-show To register your interest in attending future events please visit http://mas...

    published: 28 Apr 2016
  • Financial Market & its Types | Primary & Secondary Market | Exams

    Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations. A financial market is a broad term describing any marketplace where buyers and sellers participate in the trade of assets such as equities, bonds, currencies and derivatives. e.g., a stock exchange or commodity exchange. # Types of Financial Market #Capital markets # Stock markets, #Bond markets, #OTC #Commodity markets #Money markets, #Derivatives markets, #Futures markets, #Foreign exchange markets, #Spot market #Interbanks market #Credit market #Cash market 1. capita...

    published: 03 Feb 2017
  • Canadian Securities Exchange on being the Exchange for Entrepreneurs

    Canadian Securities Exchange CEO Richard Carleton spoke to Resource Investing News at the Vancouver Resource Investment Conference on rebranding the exchange and the involvement of Ned Goodman of Dundee Corp. in CNSX Markets Inc. Mr. Carleton speaks to a range of topics including consolidating their platforms and Goodman's view that the cost of capital is to high for entrepreneurs trying to access the markets in Canada. Carleton talks about the many similarities and differences between the CSE and other markets in Canada. Also discussed is the role of exchanges versus securities commissions and some of the comments from CEO's in the Venture Status Survey report. http://investingnewsnetwork.com/venture-status-report/

    published: 24 Jan 2014
  • Securities Exchange Market Declines

    The Uganda Security Exchange market has declined and performed lower than expected, due to economic setbacks that the country is going through. According to Paul Bwiso, the Chief Executive Officer at Uganda Securities Exchange, a number of investors suffered shortfalls in their trade turnover and were reluctant to invest in shares. Inability to access information also accounted for the shortfall and as such, the Uganda Security Exchange has established an online easy portal that it believes will help investors to easily access necessary information;

    published: 07 Mar 2017
  • Shell Companies Case: SEBI To Ask Exchanges To Seek Auditor Certified Information From 162 Companies

    162 listed companies facing trading curbs may soon get an opportunity to shed the ‘shell’ tag. Read: https://goo.gl/Wcqvf8

    published: 09 Aug 2017
  • What Is A Securities Exchange?

    Securities and exchange commission (sec) is an independent, federal government agency responsible for protecting investors, maintaining fair orderly functioning of securities markets, facilitating capital formation 12 apr 2017 exchanges that have registered with the sec under section 6 act 1934 u. Read more title i regulation of securities exchangesthis act may be cited as the ''securities exchange 1934''. Securities exchange synonyms, securities pronunciation, translation, english dictionary definition of the was going well and we all sort wondered what it about how applied to us. Securities and exchange commission u. Asx home australian securities exchangecode 78c definitions and application lii exchange offer what is the cambodia exchange? , lift, phnom penh post. Nairobi securities exc...

    published: 03 Jul 2017
  • SEC The United States Securities And Exchange Commission

    *Subscribe to My Channel:

    published: 27 Nov 2016
  • What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)

    Prior to the enactment of the federal securities laws and the creation of the SEC, there existed so-called blue sky laws. They were enacted and enforced at the state level, and regulated the offering and sale of securities to protect the public from fraud. Though the specific provisions of these laws varied among states, they all required the registration of all securities offerings and sales, as well as of every U.S. stockbroker and brokerage firm.[4] However, these blue sky laws were generally found to be ineffective. For example, the Investment Bankers Association told its members as early as 1915 that they could "ignore" blue sky laws by making securities offerings across state lines through the mail.[5] After holding hearings on abuses on interstate frauds (commonly known as the Peco...

    published: 23 Jul 2015
  • What Is The Securities And Exchange Commission?

    Securities and exchange commission (sec) regulates the stock market, protects investors makes u. Securities and exchange commission (sec) is an independent agency of the united states federal government. Securities and exchange commission cnbc explains. Official website about the securities and exchange commission, nigeria. In furtherance of the securities and exchange commission's dedication to ease doing business in commission, also known as sec, is a regulatory body that was established result act 1934. The sec holds primary responsibility home securities and exchange commission. Securities and exchange commission sec investopedia the u. Securities and exchange commission from the sec's objective as stated in its mission statement is to promote develop maintain a securities market th...

    published: 20 Jul 2017
  • Aphelion ICO Review - Decentralized P2P Exchange Solution

    In this video, I review Aphelion's upcoming initial coin offering (ICO). While analyzing this ICO I found they are not ready with the product, so I am going to pass this ICO. https://apheliontoken.com/ Aiming to be one of the first NEO tokens, Aphelion is building a next generation, tokenized, distribution mechanism to solve for the challenges plaguing the centralized cryptocurrency exchanges and trading platforms. This protocol will allow for a groundbreaking peer-to-peer smart contract called a Distributed Exchange Asset Ledger (DEAL). An APH DEAL fuels the Aphelion DApp built on the NEO blockchain that is open source, supports multi programming languages, transacts quickly and frees DEAL makers from: rules, latency and security breaches. APH tokens represent a new breed of digital as...

    published: 10 Nov 2017
  • 3. Securities and Exchange Commission

    3. Securities and Exchange Commission

    published: 27 Sep 2016
  • Daily: SEC charges 2 ICOs for Fraud / How I almost got scammed

    Boxmining Daily Sept 30 0:52 Market Recap 1:50 Japan Issues Licenses for 11 Bitcoin Exchanges 2:32 One Huge Ethereum Mixer Controlling 65% of All Transactions 3:42 Volume: Analysts NO2X campaign 4:42 SEC Charges ICO: US Agency Takes Action Against Alleged Token Scammer 6:56 WTF - ICO to protect against ICOs 7:26 Almost Scammed - Example Use code "6bXKwD" and get 3% off every purchase on Genesis Mining! https://www.genesis-mining.com/a/287920 🤑 ♨️Social: http://boxmining.com Steemit: https://steemit.com/@boxmining Twitter: https://twitter.com/boxmining Facebook: https://www.facebook.com/boxmining 🤑 Buy Bitcoin: https://www.coinbase.com/join/590c3a1c8bfa31012ffacf87 💰 Secure your Crypto with Hardware Wallets: Ledger: https://www.ledgerwallet.com/r/428b 💪Donations: Bitcoin : 13EvsPm3YhiC...

    published: 30 Sep 2017
  • What Is A Securities Exchange

    Securities and exchange commission (sec) is an independent, federal government agency responsible for protecting investors, maintaining fair orderly functioning of securities markets, facilitating capital formation 12 apr 2017 exchanges that have registered with the sec under section 6 act 1934 u. Read more title i regulation of securities exchangesthis act may be cited as the ''securities exchange 1934''. Securities exchange synonyms, securities pronunciation, translation, english dictionary definition of the was going well and we all sort wondered what it about how applied to us. Securities and exchange commission u. Asx home australian securities exchangecode 78c definitions and application lii exchange offer what is the cambodia exchange? , lift, phnom penh post. Nairobi securities exc...

    published: 05 Nov 2017
  • U.S. Securities and Exchange Commission

    The U.S.Securities and Exchange Commission is an agency of the United States federal government.It holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States.In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes. ---Image-Copyright-and-Permission--- About the author(s): U.S. Government License: Public domain ---Image-Copyright-and-Permission--- This ...

    published: 16 Sep 2016
  • Stock Market: "What Makes Us Tick" 1952 New York Stock Exchange 12min

    more at http://money.quickfound.net/ "Cartoon promoting the stock market as the engine of America's prosperity." NEW VERSION with improved video & sound: https://www.youtube.com/watch?v=6MOky34M9m8 Public domain film from the Library of Congress Prelinger Archive, slightly cropped to remove uneven edges, with the aspect ratio corrected, and mild video noise reduction applied. The soundtrack was also processed with volume normalization, noise reduction, clipping reduction, and equalization. http://en.wikipedia.org/wiki/Stock_market ...The purpose of a stock exchange is to facilitate the exchange of securities between buyers and sellers, thus providing a marketplace (virtual or real). The exchanges provide real-time trading information on the listed securities, facilitating price discov...

    published: 13 Feb 2012
  • Securities and Exchange Commission

    published: 28 Apr 2016
  • Securities and Exchange Commission

    published: 07 Apr 2016
  • SEC - Securities and Exchange Commision

    published: 27 Feb 2016
  • 3. Securities and Exchange Commission

    3. Securities and Exchange Commission

    published: 27 Sep 2016
  • Secure Document Exchange webinar

    How to use Secure Document Exchange

    published: 17 Mar 2016
developed with YouTube
What does The Securities and Exchange Commission do?

What does The Securities and Exchange Commission do?

  • Order:
  • Duration: 2:41
  • Updated: 14 Feb 2013
  • views: 21341
videos
Any questions? The Securities and Exchange Commission is a government entity created to regulate the trading in securities such as stocks and bonds. The "SEC" as it is known was created after the Great Depression to protect the public by regulating the trading in stocks and bonds. The goal is for the average investor, Joe Q, to have access to the same information as the executives who oversee or work for the public companies that are traded on the exchanges. All public companies must file their results with the SEC on a periodic basis, usually each quarter so that the public has access to the same information as the company executives. Also, the SEC makes sure that the "insiders" who work for the companies, do not have an unfair advantage to invest or trade in securities based on "inside" information that is not yet available to the public. So, the SEC is like an investment police force!
https://wn.com/What_Does_The_Securities_And_Exchange_Commission_Do
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance

What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance

  • Order:
  • Duration: 30:14
  • Updated: 17 Nov 2015
  • views: 3223
videos
Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operations of the industry. In practice, the SEC delegates most of its enforcement and rulemaking authority to FINRA. In fact, all trading firms not regulated by other SROs must register as a member of FINRA. Individuals trading securities must pass exams administered by FINRA to become registered representatives.[11][12] The Investment Management Division oversees registered investment companies, which include mutual funds, as well as registered investment advisors. These entities are subject to extensive regulation under various federals securities laws.[13] The Division of Investment Management administers various federal securities laws, in particular the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include:[14] assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff; responding to no-action requests and requests for exemptive relief; reviewing investment company and investment adviser filings; assisting the Commission in enforcement matters involving investment companies and advisers; and advising the Commission on adapting SEC rules to new circumstances. The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. The SEC generally conducts investigations in private. The SEC's staff may seek voluntary production of documents and testimony, or may seek a formal order of investigation from the SEC, which allows the staff to compel the production of documents and witness testimony. The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.[15] Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the Commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC. This office has played a role in such areas as working with the Financial Accounting Standards Board to develop Generally Accepted Accounting Principles, the Public Company Accounting Oversight Board in developing audit requirements, and the International Accounting Standards Board in advancing the development of International Financial Reporting Standards; The Office of Compliance, Inspections and Examinations, which inspects broker-dealers, stock exchanges, credit rating agencies, registered investment companies, including both closed-end and open-end (mutual funds) investment companies, money funds. and Registered Investment Advisors; The Office of International Affairs, which represents the SEC abroad and which negotiates international enforcement information-sharing agreements, develops the SEC's international regulatory policies in areas such as mutual recognition, and helps develop international regulatory standards through organizations such as the International Organization of Securities Commissions and the Financial Stability Forum; The Office of Investor Education and Advocacy, which helps educate the public about securities markets and warns investors of fraud and stock market scams; The Office of Economic Analysis, which helps the SEC estimate the economic costs and benefits of its various rules and regulations; and The Office of Information Technology, which supports the Commission and staff in information technology, including application development, infrastructure operations. and engineering, user support, IT program management, capital planning, security, and enterprise architecture. The Inspector General. The SEC announced in January 2013 that it had named Carl Hoecker the new inspector general.[16][17] He has a staff of 22. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
https://wn.com/What_Is_The_Securities_Exchange_Commission_Is_It_Effective_U.S._Finance
SEBI | Securities and Exchange Board of India | all about SEBI

SEBI | Securities and Exchange Board of India | all about SEBI

  • Order:
  • Duration: 7:07
  • Updated: 10 Feb 2017
  • views: 34558
videos
Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations. #SEBI Securities Exchange Board of India (SEBI) was set up in 1988 to regulate the functions of securities market but it was not able to exercise complete control over the stock market transactions. It became an autonomous body by The Government of India on 12 April 1992 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament. SEBI has its Head Quarters at the business district of Bandra Kurla Complex in Mumbai, and has regional offices in New Delhi, Kolkata, Chennai and Ahmedabad. SEBI is managed by the following members of the board: • The Chairman who is nominated by the Union Government of India. Shri U. K. Sinha, Chairman, SEBI • Two members from the Union Finance Ministry • One member from the Reserve Bank of India • The remaining 5 members are nominated by the Union Government of India, PREAMBLE (introduction) The Preamble of the Securities and Exchange Board of India describes the basic functions of the Securities and Exchange Board of India as "...to protect the interests of investors in securities and to promote the development of, and to regulate the securities market and for matters connected therewith or incidental thereto" Purpose and Role of SEBI: SEBI was set up with the main purpose of keeping a check on malpractices and protect the interest of investors. It was set up to meet the needs of three groups. 1. Issuers: For issuers it provides a market place in which they can raise finance fairly and easily. 2. Investors: For investors it provides protection and supply of accurate and correct information. 3. Intermediaries: For intermediaries it provides a competitive professional market. Functions of SEBI: i. Protective functions ii. Developmental functions iii. Regulatory functions. 1. Protective Functions: (i) It Checks Price Rigging: (ii) It Prohibits Insider trading: (iii) SEBI prohibits fraudulent and Unfair Trade Practices: (iv) SEBI undertakes steps to educate investors 2. Developmental Functions: (i) SEBI promotes training of intermediaries of the securities market. (ii) SEBI tries to promote activities of stock exchange by adopting flexible and adoptable approach in following way: (a) SEBI has permitted internet trading through registered stock brokers. (b) SEBI has made underwriting optional to reduce the cost of issue. (c) Even initial public offer of primary market is permitted through stock exchange. 3. Regulatory Functions: (i) SEBI has framed rules and regulations and a code of conduct to regulate the intermediaries such as merchant bankers, brokers, underwriters, etc. (ii) These intermediaries have been brought under the regulatory purview and private placement has been made more restrictive. (iii) SEBI registers and regulates the working of stock brokers, sub-brokers, share transfer agents, trustees, merchant bankers and all those who are associated with stock exchange in any manner. (iv) SEBI registers and regulates the working of mutual funds etc. (v) SEBI regulates takeover of the companies. (vi) SEBI conducts inquiries and audit of stock exchanges.
https://wn.com/Sebi_|_Securities_And_Exchange_Board_Of_India_|_All_About_Sebi
How The Stock Exchange Works (For Dummies)

How The Stock Exchange Works (For Dummies)

  • Order:
  • Duration: 3:34
  • Updated: 28 Nov 2013
  • views: 4033818
videos
Why are there stocks at all? Everyday in the news we hear about the stock exchange, stocks and money moving around the globe. Still, a lot of people don't have an idea why we have stock markets at all, because the topic is usually very dry. We made a short video about the basics of the stock exchanges. With robots. Robots are kewl! Short videos, explaining things. For example Evolution, the Universe, the Stock Market or controversial topics like Fracking. Because we love science. We would love to interact more with you, our viewers to figure out what topics you want to see. If you have a suggestion for future videos or feedback, drop us a line! :) We're a bunch of Information designers from munich, visit us on facebook or behance to say hi! https://www.facebook.com/Kurzgesagt https://www.behance.net/kurzgesagt How the Stock Exchange works Help us caption & translate this video! http://www.youtube.com/timedtext_cs_panel?c=UCsXVk37bltHxD1rDPwtNM8Q&tab=2
https://wn.com/How_The_Stock_Exchange_Works_(For_Dummies)
21. Exchanges, Brokers, Dealers, Clearinghouses

21. Exchanges, Brokers, Dealers, Clearinghouses

  • Order:
  • Duration: 1:09:22
  • Updated: 05 Apr 2012
  • views: 53751
videos
Financial Markets (2011) (ECON 252) As the starting point for this lecture, Professor Shiller contrasts the view of economics as the theory of the allocation of scarce resources with the view of economics as the study of exchange. After a discussion of the difference between brokers and dealers, he outlines the history of securities exchanges from ancient Rome, to the Amsterdam Stock Exchange and Jonathan's Coffee House in London, until the formation of the New York Stock Exchange. He complements this historic account with an overview of securities exchanges all over the world, covering India, China, Brazil, and Mexico. An example of a limit order book allows him to elaborate on the mechanics of trading at the National Association of Securities Dealers Automatic Quotation System (NASDAQ). Subsequently, he turns his attention to the growing importance of program trading and high frequency trading, but also discusses their impact on the stock market crash from October 19, 1987, as well as on the Flash Crash from May 6, 2010. When talking about fairness in financial markets, particularly with regard to the relation between private investors and brokers, he discusses the National Market System (NMS), the Intermarket Trading System (ITS), and consolidated quotation systems. He concludes this lecture with some reflections on the operations of dealers, addressing the role of inside information and the Gambler's Ruin problem. 00:00 - Chapter 1. Exchange as the Key Component of Economic Activity 05:50 - Chapter 2. Brokers vs. Dealers 12:25 - Chapter 3. History of Stock Exchanges around the World 24:28 - Chapter 4. Market Orders, Limit Orders, and Stop Orders 36:15 - Chapter 5. The Growing Importance of Electronic Trading 44:46 - Chapter 6. Instabilities Related to High Frequency Trading 59:14 - Chapter 7. The Frustrations as Trading as a Dealer Complete course materials are available at the Yale Online website: online.yale.edu This course was recorded in Spring 2011.
https://wn.com/21._Exchanges,_Brokers,_Dealers,_Clearinghouses
79. The Difference Between Over the Counter (OTC) and Exchange-Based Markets

79. The Difference Between Over the Counter (OTC) and Exchange-Based Markets

  • Order:
  • Duration: 5:15
  • Updated: 03 Apr 2008
  • views: 56800
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Practice trading with a free demo account: http://bit.ly/IT-forex-demo3 View full article: http://www.informedtrades.com/20797-difference-between-exchange-traded-over-counter-markets.html When trading stocks or futures you normally do so via a centralized exchange such as the New York Stock Exchange or the Chicago Mercantile Exchange. In addition to providing a centralized place where all trades are conducted, exchanges such as these also play the key role of acting as the counterparty to all trades. What this means is that while you may be buying for example 100 shares of Google stock at the same time someone else is selling those shares, you do not buy those shares directly from the seller but instead from the exchange. The fact that the exchange stands on the other side of all trades in exchange traded markets is one of their key advantages as this removes counterparty risk, or the chance that the person who you are trading with will default on their obligations relating to the trade. A second key advantage of exchange traded markets is that as all trades flow through one central place, the price that is quoted for a particular instrument is always the same regardless of the size or sophistication of the person or entity making the trade. This in theory should create a more level playing field which can be an advantage to the smaller and less sophisticated trader. Lastly, because all firms that offer exchange traded products must be members and register with the exchange, there is greater regulatory oversight which can make exchange traded markets a much safer place for individuals to trade. The downside that is often cited about exchange traded markets is cost. As the firms who offer exchange traded products must meet high regulatory requirements to do so, this makes it more costly for them to offer these products, a cost that is inevitably passed along to the end user. Secondly, as all trades in exchange traded products must flow through the exchange this gives these for profit entities immense power when setting things such as exchange fees which can also increase transaction costs for the end user. Unlike the stock market and the futures market which trade on centralized exchanges, the spot forex market and many debt markets trade in what's known as the over the counter market. What this means is that there is no centralized place where trades are made, instead the market is made up of all the participants in the market trading among themselves. The biggest advantage to over the counter markets is that because there is no centralized exchange and little regulation, you have heavy competition between different providers to attract the most traders and trading volume to their firm. This being the case transaction costs are normally lower in over the counter markets when compared to similar products that trade on an exchange. As there is no centralized exchange the firms that make prices in the instrument that is trading over the counter can make whatever price they want, and the quality of execution varies from firm to firm for the same instrument. While this is less of a problem in liquid markets such as FX where there are multiple price reference sources, it can be a problem in less highly traded instruments. While the lack of regulation can be seen as an advantage in the above sense it can also be seen as a disadvantage, as the low barriers to entry and lack of heavy oversight also make it easier for firms offering trading to operate in a dishonest or fraudulent way. Lastly, as there is no centralized exchange the firm that you trade with when you trade in an over the counter market like forex is the counterparty to your trade, so if something happens to that firm you are in danger of loosing not only the trades you have with that firm but also your account balance. It is for these reasons that there is so much focus among forex traders as to which firm to trade with, with special attention being paid to the financial stability of the firm and the execution that they provide. As we proceed through this forex trading course we will continue to gain a better understanding of the structure of the market and traders should be well prepared after going through those lessons to make an informed decision for themselves on this issue.
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SEC Declares ICO Tokens & Offerings "Securities" And What It Means For You!

SEC Declares ICO Tokens & Offerings "Securities" And What It Means For You!

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  • Duration: 9:00
  • Updated: 26 Jul 2017
  • views: 1534
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Sign up for official Crypto Currency Trading Course! ➨ Save 10% When You Use The Discount Code "news" ➨ Click to sign up now! http://learncrypto.io/ref/course/ MAKE SURE TO LIKE, SUBSCRIBE AND SHARE! === Official Website & Contact Info === Official Website & Submit Articles ➨ http://www.getcryptonews.com Contact Email ➨ contact@getcryptonews.com === IMPORTANT LINKS! === ➨ Buy $100 Worth Of Bitcoin and Get $10 Worth Of Bitcoin Free By Joining Coinbase https://www.coinbase.com/join/531113410ca19314cf0001b5 ➨ Get Your Own Crypto Hardware Wallet To Store Your Coins https://www.ledgerwallet.com/r/0d29 === Crypto News Disclaimer === The content of this Youtube page is published in the United States of America and persons who access it agree to do so in accordance with applicable U.S. law. All opinions expressed by Crypto News on this website and on the show are solely Crypto News opinions and do not reflect the opinions of Youtube or their parent company or affiliates, and may have been previously disseminated by Crypto News on television, radio, internet or another medium. You should not treat any opinion expressed by Crypto News as a specific inducement to make a particular investment or follow a particular strategy, but only as an expression of his opinion. Crypto News's opinions are based upon information we considers reliable, but neither Youtube nor its affiliates and/or subsidiaries warrant its completeness or accuracy, and it should not be relied upon as such. Crypto News and its affiliates and/or subsidiaries are not under any obligation to update or correct any information provided on this website. Crypto News's statements and opinions are subject to change without notice. No part of Crypto News's compensation from Youtube is related to the specific opinions we express. Past performance is not indicative of future results. Crypto News doesn't guarantee any specific outcome or profit. You should be aware of the real risk of loss in following any strategy or investment discussed on this website or on the show. Strategies or investments discussed may fluctuate in price or value. Investors may get back less than invested. Investments or strategies mentioned on this website or on the show may not be suitable for you. This material does not take into account your particular investment objectives, financial situation or needs and is not intended as recommendations appropriate for you. You must make an independent decision regarding investments or strategies mentioned on this website or on the show. Before acting on information on this website or on the show, you should consider whether it is suitable for your particular circumstances and strongly consider seeking advice from your own financial or investment adviser.
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The Stock Market Explained Simply: Finance and Investing Basics - Animated Film (1957)

The Stock Market Explained Simply: Finance and Investing Basics - Animated Film (1957)

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  • Duration: 10:20
  • Updated: 16 Apr 2014
  • views: 406613
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The New York Stock Exchange (sometimes referred to as "the Big Board") provides a means for buyers and sellers to trade shares of stock in companies registered for public trading. The NYSE is open for trading Monday through Friday from 9:30 am -- 4:00 pm ET, with the exception of holidays declared by the Exchange in advance. The NYSE trades in a continuous auction format, where traders can execute stock transactions on behalf of investors. They will gather around the appropriate post where a specialist broker, who is employed by an NYSE member firm (that is, he/she is not an employee of the New York Stock Exchange), acts as an auctioneer in an open outcry auction market environment to bring buyers and sellers together and to manage the actual auction. They do on occasion (approximately 10% of the time) facilitate the trades by committing their own capital and as a matter of course disseminate information to the crowd that helps to bring buyers and sellers together. The auction process moved toward automation in 1995 through the use of wireless hand held computers (HHC). The system enabled traders to receive and execute orders electronically via wireless transmission. On September 25, 1995, NYSE member Michael Einersen, who designed and developed this system, executed 1000 shares of IBM through this HHC ending a 203 year process of paper transactions and ushering in an era of automated trading. As of January 24, 2007, all NYSE stocks can be traded via its electronic hybrid market (except for a small group of very high-priced stocks). Customers can now send orders for immediate electronic execution, or route orders to the floor for trade in the auction market. In the first three months of 2007, in excess of 82% of all order volume was delivered to the floor electronically.[23] NYSE works with US regulators like the SEC and CFTC to coordinate risk management measures in the electronic trading environment through the implementation of mechanisms like circuit breakers and liquidity replenishment points.[24] Until 2005, the right to directly trade shares on the exchange was conferred upon owners of the 1366 "seats". The term comes from the fact that up until the 1870s NYSE members sat in chairs to trade. In 1868, the number of seats was fixed at 533, and this number was increased several times over the years. In 1953, the number of seats was set at 1,366. These seats were a sought-after commodity as they conferred the ability to directly trade stock on the NYSE, and seat holders were commonly referred to as members of the NYSE. The Barnes family is the only known lineage to have five generations of NYSE members: Winthrop H. Barnes (admitted 1894), Richard W.P. Barnes (admitted 1926), Richard S. Barnes (admitted 1951), Robert H. Barnes (admitted 1972), Derek J. Barnes (admitted 2003). Seat prices varied widely over the years, generally falling during recessions and rising during economic expansions. The most expensive inflation-adjusted seat was sold in 1929 for $625,000, which, today, would be over six million dollars. In recent times, seats have sold for as high as $4 million in the late 1990s and as low as $1 million in 2001. In 2005, seat prices shot up to $3.25 million as the exchange entered into an agreement to merge with Archipelago and become a for-profit, publicly traded company. Seat owners received $500,000 in cash per seat and 77,000 shares of the newly formed corporation. The NYSE now sells one-year licenses to trade directly on the exchange. Licences for floor trading are available for $40,000 and a licence for bond trading is available for as little as $1,000 as of 2010.[25] Neither are resell-able, but may be transferable in during the change of ownership of a cooperation holding a trading licence. On February 15, 2011 NYSE and Deutsche Börse announced their merger to form a new company, as yet unnamed, wherein Deutsche Börse shareholders will have 60% ownership of the new entity, and NYSE Euronext shareholders will have 40%. On February 1, 2012, the European Commission blocked the merger of NYSE with Deutsche Börse, after commissioner Joaquin Almunia stated that the merger "would have led to a near-monopoly in European financial derivatives worldwide".[38] Instead, Deutsche Börse and NYSE will have to sell either their Eurex derivatives or LIFFE shares in order to not create a monopoly. On February 2, 2012, NYSE Euronext and Deutsche Börse agreed to scrap the merger.[39] In April 2011, IntercontinentalExchange (ICE), an American futures exchange, and NASDAQ OMX Group had together made an unsolicited proposal to buy NYSE Euronext for approximately US$11 billion, a deal in which NASDAQ would have taken control of the stock exchanges.[40] NYSE Euronext rejected this offer two times, but it was finally terminated after the United States Department of Justice indicated their intention to block the deal due to antitrust concerns. http://en.wikipedia.org/wiki/New_York_Stock_Exchange
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Securities Act of 1933

Securities Act of 1933

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  • Duration: 9:49
  • Updated: 30 Oct 2014
  • views: 6611
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United States Congress enacted the Securities Act of 1933 (the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, or the '33 Act, Title I of Pub. L. 73-22, 48 Stat. 74, enacted May 27, 1933, codified at 15 U.S.C. § 77a et seq.), in the aftermath of the stock market crash of 1929 and during the ensuing Great Depression. Legislated pursuant to the interstate commerce clause of the Constitution, it requires that any offer or sale of securities using the means and instrumentalities of interstate commerce be registered with the SEC pursuant to the 1933 Act, unless an exemption from registration exists under the law. "Means and instrumentalities of interstate commerce" is extremely broad, and it is virtually impossible to avoid the operation of this statute by attempting to offer or sell a security without using an "instrumentality" of interstate commerce. Any use of a telephone, for example, or the mails, would probably be enough to subject the transaction to the statute. The 1933 Act was the first major federal legislation to regulate the offer and sale of securities. Prior to the Act, regulation of securities was chiefly governed by state laws, commonly referred to as blue sky laws. When Congress enacted the 1933 Act, it left existing state securities laws ("blue sky laws") in place. The '33 Act is based upon a philosophy of disclosure, meaning that the goal of the law is to require issuers to fully disclose all material information that a reasonable shareholder would require in order to make up his or her mind about the potential investment. This is very different from the philosophy of the blue sky laws, which generally impose so-called "merit reviews." Blue sky laws often impose very specific, qualitative requirements on offerings, and if a company does not meet the requirements in that state then it simply will not be allowed to do a registered offering there, no matter how fully its faults are disclosed in the prospectus. Recently, however, NSMIA added a new Section 18 to the '33 Act which preempts blue sky law merit review of certain kinds of offerings. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
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ICAP Securities and Derivatives Exchange | Main Stage | Master Investor 2016

ICAP Securities and Derivatives Exchange | Main Stage | Master Investor 2016

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  • Duration: 18:40
  • Updated: 28 Apr 2016
  • views: 141
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Talk Title: Alternative market venues for public companies Patrick Birley, CEO of inter-dealer broker ICAP Securities and Derivatives Exchange, presents at Master Investor 2016. In his talk, Patrick looks at the current state of investment exchanges in the UK, and introduces his business as a route for companies to gain access to public market financing. Master Investor is the UK's leading investment show with 15 years' experience in delivering the standout event of the investment calendar. 2016's packed out event took place on Saturday April 23rd and was hosted in central London. For more information and to download the accompanying presentation slides please visit http://masterinvestor.co.uk/show/2016-show To register your interest in attending future events please visit http://masterinvestor.co.uk/show/tickets Keep in touch: Newsletter | http://masterinvestor.co.uk/subscribe Twitter | http://twitter.com/masterinvestor Facebook | http://facebook.com/masterinvestor
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Financial Market & its Types | Primary & Secondary Market | Exams

Financial Market & its Types | Primary & Secondary Market | Exams

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  • Duration: 9:15
  • Updated: 03 Feb 2017
  • views: 29423
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Exam Kabila is providing latest Content in English and hindi. Important Lectures and Notes for Banking, bank, IBPS PO and Clerk, MBA, BBA, Other Finance Exams, Management Papers, SBI, Railways, SSC, LIC AAO, , IAS, UPSC, CDS, Railways, NDA, State PCS, CLAT and all other similar government competitive examinations. A financial market is a broad term describing any marketplace where buyers and sellers participate in the trade of assets such as equities, bonds, currencies and derivatives. e.g., a stock exchange or commodity exchange. # Types of Financial Market #Capital markets # Stock markets, #Bond markets, #OTC #Commodity markets #Money markets, #Derivatives markets, #Futures markets, #Foreign exchange markets, #Spot market #Interbanks market #Credit market #Cash market 1. capital markets: Capital markets are markets for buying and selling equity and debt instruments. Capital markets channel savings and investment between suppliers of capital such as retail investors and institutional investors, and users of capital like businesses, government and individuals. The capital markets may also be divided into primary markets and secondary markets. A. primary markets: Newly formed (issued) securities are bought or sold in primary markets, such as during initial public offerings. The transactions in primary markets exist between issuers and investors B. secondary markets. : Secondary markets allow investors to buy and sell existing securities. secondary market transactions exist among investors. a. Stock Market Stock markets allow investors to buy and sell shares in publicly traded companies. Any subsequent trading of stock securities occurs in the secondary market. b. Over-The-Counter Market An OTC market handles the exchanging of public stocks not listed on the NASDAQ, New York Stock Exchange etc. c. Bond Markets A bond is a security in which an investor loans money for a defined period of time at a pre-established rate of interest. Bond markets, which provide financing through the issuance of bonds, and enable the subsequent trading thereof. Money Market A money market is a portion of the financial market that trades highly liquid and short-term maturities. Derivatives Market The derivatives market is a financial market that trades securities that derive its value from its underlying asset. Forex Market The forex market is a financial market where currencies are traded. This financial market is the most liquid market in the world as cash is the most liquid of assets. Spot/Cash Market A cash market is a marketplace for the immediate settlement of transactions involving commodities and securities. Interbank Market The interbank market is the financial system and trading of currencies among banks and financial institutions Equity Market The market in which shares are issued and traded, either through exchanges or over-the-counter markets. It is Also known as the stock market Commodity Market' A commodity market is a physical or virtual marketplace for buying, selling and trading raw or primary products,
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Canadian Securities Exchange on being the Exchange for Entrepreneurs

Canadian Securities Exchange on being the Exchange for Entrepreneurs

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  • Duration: 12:49
  • Updated: 24 Jan 2014
  • views: 249
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Canadian Securities Exchange CEO Richard Carleton spoke to Resource Investing News at the Vancouver Resource Investment Conference on rebranding the exchange and the involvement of Ned Goodman of Dundee Corp. in CNSX Markets Inc. Mr. Carleton speaks to a range of topics including consolidating their platforms and Goodman's view that the cost of capital is to high for entrepreneurs trying to access the markets in Canada. Carleton talks about the many similarities and differences between the CSE and other markets in Canada. Also discussed is the role of exchanges versus securities commissions and some of the comments from CEO's in the Venture Status Survey report. http://investingnewsnetwork.com/venture-status-report/
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Securities Exchange Market Declines

Securities Exchange Market Declines

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  • Duration: 2:56
  • Updated: 07 Mar 2017
  • views: 240
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The Uganda Security Exchange market has declined and performed lower than expected, due to economic setbacks that the country is going through. According to Paul Bwiso, the Chief Executive Officer at Uganda Securities Exchange, a number of investors suffered shortfalls in their trade turnover and were reluctant to invest in shares. Inability to access information also accounted for the shortfall and as such, the Uganda Security Exchange has established an online easy portal that it believes will help investors to easily access necessary information;
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Shell Companies Case: SEBI To Ask Exchanges To Seek Auditor Certified Information From 162 Companies

Shell Companies Case: SEBI To Ask Exchanges To Seek Auditor Certified Information From 162 Companies

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  • Duration: 13:24
  • Updated: 09 Aug 2017
  • views: 573
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162 listed companies facing trading curbs may soon get an opportunity to shed the ‘shell’ tag. Read: https://goo.gl/Wcqvf8
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What Is A Securities Exchange?

What Is A Securities Exchange?

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  • Duration: 1:03
  • Updated: 03 Jul 2017
  • views: 7
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Securities and exchange commission (sec) is an independent, federal government agency responsible for protecting investors, maintaining fair orderly functioning of securities markets, facilitating capital formation 12 apr 2017 exchanges that have registered with the sec under section 6 act 1934 u. Read more title i regulation of securities exchangesthis act may be cited as the ''securities exchange 1934''. Securities exchange synonyms, securities pronunciation, translation, english dictionary definition of the was going well and we all sort wondered what it about how applied to us. Securities and exchange commission u. Asx home australian securities exchangecode 78c definitions and application lii exchange offer what is the cambodia exchange? , lift, phnom penh post. Nairobi securities exchange nse kenyacse. Securities exchange definition of securities by the free what is exchange? Definition and meaning investorwords. Govmore search options about a stock exchange or bourse is an where brokers and traders can buy sell stocks (also called shares), bonds, other securities australian ltd, asx limited (asx), public company (asx asx) that operates australia's primary exchange, the commission (sec) u. Was this helpful? Yes no 10 people the u. Government agency that oversees securities transactions, activities of financial professionals an depository investor info listed get about us contact the african exchange association (asea) conference. Bahamas international securities exchange home bisx. Securities and exchange commission sec investopedianational securities exchangesstock wikipediawhat is (sec)? Definition act of 1934 the new york stock. Recognized as a stock exchange in 2004, the cse began operations 2003 to 1 mar 2016 bisx is registered 'securities exchange' accordance with provisions of securities industry act, 2011 and find information for australian including quotes, market data, share prices, tools resources well investment term member when used respect national means (i) any natural person permitted effect transactions on floor loan notes (unless or carry substantially same rights other bidder issue conversion subscription into 9 may 2012 boom cambodia (csx) after its first ever listed initial public offering april, young cambodians from What exchange? Trop x. June 6, 1934 the nairobi securities exchange, leading exchange in east africa. Invest together with us csx cambodia securities exchange khmernews 26 feb 2016 press release on signing of the memorandum gms exchanges more canadian exchange, or cse, is operated by cnsx markets inc. Exchange wikipedia [pdf] a url? Q trop x sites default files documents page 2013 04 what. What is a securities exchange? Trop x. Put simply, a securities exchange is company that creates the opportunity for potential buyers and sellers of security to come together trading define.
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SEC   The United States Securities And Exchange Commission

SEC The United States Securities And Exchange Commission

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  • Duration: 3:01
  • Updated: 27 Nov 2016
  • views: 14
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What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)

What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)

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  • Duration: 34:33
  • Updated: 23 Jul 2015
  • views: 1452
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Prior to the enactment of the federal securities laws and the creation of the SEC, there existed so-called blue sky laws. They were enacted and enforced at the state level, and regulated the offering and sale of securities to protect the public from fraud. Though the specific provisions of these laws varied among states, they all required the registration of all securities offerings and sales, as well as of every U.S. stockbroker and brokerage firm.[4] However, these blue sky laws were generally found to be ineffective. For example, the Investment Bankers Association told its members as early as 1915 that they could "ignore" blue sky laws by making securities offerings across state lines through the mail.[5] After holding hearings on abuses on interstate frauds (commonly known as the Pecora Commission), Congress passed the Securities Act of 1933 (15 U.S.C. § 77a), which regulates interstate sales of securities (original issues) at the federal level. The subsequent Securities Exchange Act of 1934 (15 U.S.C. § 78d) regulates sales of securities in the secondary market. Section 4 of the 1934 act created the U.S. Securities and Exchange Commission to enforce the federal securities laws; both laws are considered parts of Franklin D. Roosevelt's New Deal raft of legislation. The Securities Act of 1933 is also known as the "Truth in Securities Act" and the "Federal Securities Act”, or just the "1933 Act." Its goal was to increase public trust in the capital markets by requiring uniform disclosure of information about public securities offerings. The primary drafters of 1933 Act were Huston Thompson, a former Federal Trade Commission (FTC) chairman, and Walter Miller and Ollie Butler, two attorneys in the Commerce Department's Foreign Service Division, with input from Supreme Court Justice Louis Brandeis. For the first year of the law's enactment, the enforcement of the statute rested with the Federal Trade Commission, but this power was transferred to the SEC following its creation in 1934. (Interestingly, the first, rejected draft of the Securities Act written by Samuel Untermyer vested these powers in the U.S. Post Office, because Untermyer believed that only by vesting enforcement powers with the postal service could the constitutionality of the act be assured.[5]) The law requires that issuing companies register distributions of securities with the SEC prior to interstate sales of these securities, so that investors may have access to basic financial information about issuing companies and risks involved in investing in the securities in question. Since 1994, most registration statements (and associated materials) filed with the SEC can be accessed via the SEC’s online system, EDGAR.[6] The Securities Exchange Act of 1934 is also known as "the Exchange Act" or "the 1934 Act". This act regulates secondary trading between individuals and companies which are often unrelated to the original issuers of securities. Entities under the SEC’s authority include securities exchanges with physical trading floors such as the New York Stock Exchange (NYSE), self-regulatory organizations (SROs) such as the National Association of Securities Dealers (NASD), the Municipal Securities Rulemaking Board (MSRB), online trading platforms such as the NASDAQ Stock Market (NASDAQ) and alternative trading systems (ATSs), and any other persons (e.g., securities brokers) engaged in transactions for the accounts of others.[7] President Roosevelt appointed Joseph P. Kennedy, Sr., father of President John F. Kennedy, to serve as the first Chairman of the SEC, along with James M. Landis (one of the architects of the 1934 Act and other New Deal legislation) and Ferdinand Pecora (Chief Counsel to the United States Senate Committee on Banking and Currency during its investigation of Wall Street banking and stock brokerage practices). Other prominent SEC commissioners and chairmen include William O. Douglas (who went on to be a U.S. Supreme Court justice), Jerome Frank (one of the leaders of the legal realism movement), and William J. Casey (who later headed the Central Intelligence Agency under President Ronald Reagan). https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
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What Is The Securities And Exchange Commission?

What Is The Securities And Exchange Commission?

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  • Duration: 0:47
  • Updated: 20 Jul 2017
  • views: 16
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Securities and exchange commission (sec) regulates the stock market, protects investors makes u. Securities and exchange commission (sec) is an independent agency of the united states federal government. Securities and exchange commission cnbc explains. Official website about the securities and exchange commission, nigeria. In furtherance of the securities and exchange commission's dedication to ease doing business in commission, also known as sec, is a regulatory body that was established result act 1934. The sec holds primary responsibility home securities and exchange commission. Securities and exchange commission sec investopedia the u. Securities and exchange commission from the sec's objective as stated in its mission statement is to promote develop maintain a securities market that fair, efficient, orderly, transparent oversees exchanges, brokers dealers, investment advisors, mutual funds an effort. So how does it work and what power 25 nov 2016 the u. Government agency that oversees securities transactions, activities of financial professionals and mutual fund trading to prevent fraud intentional deception. Securities and exchange commission (sec) is an independent, federal government agency responsible for protecting investors, maintaining fair orderly functioning of securities markets, facilitating capital formation the a u. Ssecurities and exchange commission the new york timessecurities. Get all the welcome to official website of securities & exchange commission pakistan (secp)! read information about laws, licensing, enforcement and islamic sec received cybersecurity public private cooperation award in recognition sec's outstanding achievement raising organizational 26 apr 2012 united states or is watchdog wall street. Market transparent news about the u. The sec consists of five commissioners who serve staggered year terms 10 jun 2013 the mission u. The sec and how it affects the u. Securities and exchange commission sec investopedia. Scommentary and archival information about the u. Securities and exchange commission thailand. What is securities and exchange commission (sec)? Definition sec. Securities and exchange commission facts & summary securities of pakistan (secp). Gov securities and exchange commission (philippines) wikipediasecurities (sec) definition & example what is (sec)? Definition commission, nigeria. Securities and exchange commission is to protect achieve this, the sec requires public companies disclose files fraud charges in bitcoin office space investment schemes june 30, 2017; Sec information technology company former securities agency of government philippines responsible for regulating industry u. Founded definition of securities and exchange commission (sec) us federal agency established in 1934 to help protect investors by enforcing related laws, the official website nigeria (sec), is apex regulatory institution nigerian capital market supervised ministry find out more about history commission, including videos, interesting articles, pictures, historical features.
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Aphelion ICO Review - Decentralized P2P Exchange Solution

Aphelion ICO Review - Decentralized P2P Exchange Solution

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  • Duration: 4:35
  • Updated: 10 Nov 2017
  • views: 549
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In this video, I review Aphelion's upcoming initial coin offering (ICO). While analyzing this ICO I found they are not ready with the product, so I am going to pass this ICO. https://apheliontoken.com/ Aiming to be one of the first NEO tokens, Aphelion is building a next generation, tokenized, distribution mechanism to solve for the challenges plaguing the centralized cryptocurrency exchanges and trading platforms. This protocol will allow for a groundbreaking peer-to-peer smart contract called a Distributed Exchange Asset Ledger (DEAL). An APH DEAL fuels the Aphelion DApp built on the NEO blockchain that is open source, supports multi programming languages, transacts quickly and frees DEAL makers from: rules, latency and security breaches. APH tokens represent a new breed of digital asset exchange tool. The breakthrough advancement is creating the protocol powering the truly decentralized exchanges directly between users as a distributed ledger DApp. Aphelion’s own Distributed Exchange Asset Ledger (DEAL) is advancing p2p blockchain to the next level and finally into the total control of the users. Aphelion tokens are an escrow utility. They are the digital smart contract mechanism powering the DEAL. Buy My Weekly ICO Report: http://ianbalina.com/icoreport Download My ICO Spreadsheet: http://ianbalina.com/spreadsheet Join My Telegram Mastermind: htto://ianbalina.com/mastermind Website: http://ianbalina.com Instagram: https://www.instagram.com/diaryofamademan/ Twitter: https://twitter.com/diaryofamademan Snapchat: https://www.snapchat.com/add/diaryofamademan Steemit: http://steemit.com/@ianbalina DIARY OF A MADE MAN LLC IS NOT PROVIDING INDIVIDUALLY TAILORED INVESTMENT ADVICE AND IS NOT TAKING SUBSCRIBERS PERSONAL CIRCUMSTANCES INTO CONSIDERATION WHEN DISCUSSING INVESTMENTS IN ICOS. DIARY OF A MADE MAN LLC IS NOT REGISTERED TO PROVIDE INVESTMENT ADVICE AND ARE SIMPLY PROVIDING AN OPINION, GIVING THEIR PARTICULAR EXPERIENCE, WHEN DISCUSSING ICOS. INFORMATION CONTAINED HEREIN IS NOT AN OFFER OR SOLICITATION TO BUY, HOLD, OR SELL ANY SECURITY. DIARY OF A MADE MAN LLC IS NOT A BROKER-DEALER OR FINANCIAL ADVISER AND IS NOT AFFILIATED WITH AN INVESTMENT ADVISORY FIRM. DIARY OF A MADE MAN LLC DOES NOT ENGAGE IN ACTIVITIES THAT WOULD REQUIRE SUCH REGISTRATION. DIARY OF A MADE MAN LLC AND/OR ANY COMPANIES AFFILIATED WITH DIARY OF A MADE MAN LLC, ARE NOT RESPONSIBLE FOR ANY GAINS OR LOSSES THAT RESULT FROM THE OPINIONS EXPRESSED HEREIN. DIARY OF A MADE MAN LLC MAKES NO REPRESENTATION AS TO THE COMPLETENESS, ACCURACY, OR TIMELINESS OF THE MATERIAL PROVIDED AND ALL MATERIALS ARE SUBJECT TO CHANGE WITHOUT NOTICE. FOR THE FULL DISCLAIMER, DISCLOSURE, PRIVACY POLICY, AND TERMS OF SERVICE FOR USE OF THE SERVICES, PLEASE VISIT THE WEBSITE: WWW.IANBALINA.COM. THE ICOS DISCUSSED HEREIN HAVE NOT BEEN REVIEWED BY THE SECURITIES AND EXCHANGE COMMISSION OR ANY STATE SECURITIES REGULATORY AUTHORITY. FURTHERMORE, THE FOREGOING AUTHORITIES HAVE NOT CONFIRMED THE ACCURACY OR DETERMINED THE ADEQUACY OF THE ICO OFFERING DOCUMENTS. ANY REPRESENTATION TO THE CONTRARY IS A CRIMINAL OFFENSE. THE ICOS IDENTIFIED HEREIN MAY CONSTITUTE SECURITIES PURSUANT TO FEDERAL AND STATE SECURITIES LAWS AND MAY NOT BE APPROPRIATE FOR, OR OFFERED TO, INVESTORS RESIDING IN THE UNITED STATES. IN MAKING AN INVESTMENT DECISION, INVESTORS MUST RELY ON THEIR OWN EXAMINATION OF THE PERSON OR ENTITY ISSUING THE ICO AND THE TERMS OF THE OFFERING, INCLUDING THE MERITS AND RISKS INVOLVED. INVESTMENT IN ICOS INVOLVES A HIGH DEGREE OF RISK AND SHOULD BE CONSIDERED ONLY BY PERSONS WHO CAN AFFORD TO SUSTAIN A LOSS OF THEIR ENTIRE INVESTMENT. INVESTORS IN ICOS SHOULD CONSULT THEIR FINANCIAL ADVISER BEFORE INVESTING IN ICOS. THE SECURITIES AND EXCHANGE COMMISSION HAS WARNED INVESTORS RESIDING IN THE UNITED STATES THAT ICOS MAY CONSTITUTE SECURITIES, AND BY INVESTING IN ICOS, INVESTORS MAY BE PURCHASING UNREGISTERED SECURITIES OFFERINGS. US INVESTORS WHO INVEST IN MAY BE UNABLE TO RECOVER ANY LOSSES SUSTAINED IN THE EVENT OF FRAUD OR THEFT.
https://wn.com/Aphelion_Ico_Review_Decentralized_P2P_Exchange_Solution
3. Securities and Exchange Commission

3. Securities and Exchange Commission

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  • Duration: 0:32
  • Updated: 27 Sep 2016
  • views: 8
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Daily: SEC charges 2 ICOs for Fraud / How I almost got scammed

Daily: SEC charges 2 ICOs for Fraud / How I almost got scammed

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  • Duration: 11:03
  • Updated: 30 Sep 2017
  • views: 16806
videos
Boxmining Daily Sept 30 0:52 Market Recap 1:50 Japan Issues Licenses for 11 Bitcoin Exchanges 2:32 One Huge Ethereum Mixer Controlling 65% of All Transactions 3:42 Volume: Analysts NO2X campaign 4:42 SEC Charges ICO: US Agency Takes Action Against Alleged Token Scammer 6:56 WTF - ICO to protect against ICOs 7:26 Almost Scammed - Example Use code "6bXKwD" and get 3% off every purchase on Genesis Mining! https://www.genesis-mining.com/a/287920 🤑 ♨️Social: http://boxmining.com Steemit: https://steemit.com/@boxmining Twitter: https://twitter.com/boxmining Facebook: https://www.facebook.com/boxmining 🤑 Buy Bitcoin: https://www.coinbase.com/join/590c3a1c8bfa31012ffacf87 💰 Secure your Crypto with Hardware Wallets: Ledger: https://www.ledgerwallet.com/r/428b 💪Donations: Bitcoin : 13EvsPm3YhiCPGksQQdvQUFtsbF8FoU6Cz NEO: AHMMavFxwPA1jPB3HiF5Hq8JxeJ2soWvDW Ethereum: 0x58d98516363D2A5f93CE6aB4A4a909599C3EEC3a DASH: XcAREQEEunvv6rJza9LKDzdyjZ1BwBN2iK Litecoin: LXeXUr2Hr3ePgHb9aDjr4QdqA4DPXoTarU Decred: DsgsSqYF2oSZ5MJeoqiEMyeJdWhdvWk8A4s 💱Software Wallet: Windows/Mac/linux: http://exodus.io
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What Is A Securities Exchange

What Is A Securities Exchange

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  • Duration: 0:45
  • Updated: 05 Nov 2017
  • views: 0
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Securities and exchange commission (sec) is an independent, federal government agency responsible for protecting investors, maintaining fair orderly functioning of securities markets, facilitating capital formation 12 apr 2017 exchanges that have registered with the sec under section 6 act 1934 u. Read more title i regulation of securities exchangesthis act may be cited as the ''securities exchange 1934''. Securities exchange synonyms, securities pronunciation, translation, english dictionary definition of the was going well and we all sort wondered what it about how applied to us. Securities and exchange commission u. Asx home australian securities exchangecode 78c definitions and application lii exchange offer what is the cambodia exchange? , lift, phnom penh post. Nairobi securities exchange nse kenyacse. Securities exchange definition of securities by the free what is exchange? Definition and meaning investorwords. Govmore search options about a stock exchange or bourse is an where brokers and traders can buy sell stocks (also called shares), bonds, other securities australian ltd, asx limited (asx), public company (asx asx) that operates australia's primary exchange, the commission (sec) u. Was this helpful? Yes no 10 people the u. Government agency that oversees securities transactions, activities of financial professionals an depository investor info listed get about us contact the african exchange association (asea) conference. Bahamas international securities exchange home bisx. Securities and exchange commission sec investopedianational securities exchangesstock wikipediawhat is (sec)? Definition act of 1934 the new york stock. Recognized as a stock exchange in 2004, the cse began operations 2003 to 1 mar 2016 bisx is registered 'securities exchange' accordance with provisions of securities industry act, 2011 and find information for australian including quotes, market data, share prices, tools resources well investment term member when used respect national means (i) any natural person permitted effect transactions on floor loan notes (unless or carry substantially same rights other bidder issue conversion subscription into 9 may 2012 boom cambodia (csx) after its first ever listed initial public offering april, young cambodians from What exchange? Trop x. June 6, 1934 the nairobi securities exchange, leading exchange in east africa. Invest together with us csx cambodia securities exchange khmernews 26 feb 2016 press release on signing of the memorandum gms exchanges more canadian exchange, or cse, is operated by cnsx markets inc. Exchange wikipedia [pdf] a url? Q trop x sites default files documents page 2013 04 what. What is a securities exchange? Trop x. Put simply, a securities exchange is company that creates the opportunity for potential buyers and sellers of security to come together trading define.
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U.S. Securities and Exchange Commission

U.S. Securities and Exchange Commission

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  • Duration: 28:45
  • Updated: 16 Sep 2016
  • views: 28
videos
The U.S.Securities and Exchange Commission is an agency of the United States federal government.It holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States.In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes. ---Image-Copyright-and-Permission--- About the author(s): U.S. Government License: Public domain ---Image-Copyright-and-Permission--- This channel is dedicated to make Wikipedia, one of the biggest knowledge databases in the world available to people with limited vision. Article available under a Creative Commons license Image source in video
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Stock Market: "What Makes Us Tick" 1952 New York Stock Exchange 12min

Stock Market: "What Makes Us Tick" 1952 New York Stock Exchange 12min

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  • Duration: 11:36
  • Updated: 13 Feb 2012
  • views: 25318
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more at http://money.quickfound.net/ "Cartoon promoting the stock market as the engine of America's prosperity." NEW VERSION with improved video & sound: https://www.youtube.com/watch?v=6MOky34M9m8 Public domain film from the Library of Congress Prelinger Archive, slightly cropped to remove uneven edges, with the aspect ratio corrected, and mild video noise reduction applied. The soundtrack was also processed with volume normalization, noise reduction, clipping reduction, and equalization. http://en.wikipedia.org/wiki/Stock_market ...The purpose of a stock exchange is to facilitate the exchange of securities between buyers and sellers, thus providing a marketplace (virtual or real). The exchanges provide real-time trading information on the listed securities, facilitating price discovery. The New York Stock Exchange is a physical exchange, also referred to as a listed exchange -- only stocks listed with the exchange may be traded. Orders enter by way of exchange members and flow down to a floor broker, who goes to the floor trading post specialist for that stock to trade the order. The specialist's job is to match buy and sell orders using open outcry. If a spread exists, no trade immediately takes place—in this case the specialist should use his/her own resources (money or stock) to close the difference after his/her judged time. Once a trade has been made the details are reported on the "tape" and sent back to the brokerage firm, which then notifies the investor who placed the order. Although there is a significant amount of human contact in this process, computers play an important role, especially for so-called "program trading". The NASDAQ is a virtual listed exchange, where all of the trading is done over a computer network. The process is similar to the New York Stock Exchange. However, buyers and sellers are electronically matched. One or more NASDAQ market makers will always provide a bid and ask price at which they will always purchase or sell 'their' stock. The Paris Bourse, now part of Euronext, is an order-driven, electronic stock exchange. It was automated in the late 1980s. Prior to the 1980s, it consisted of an open outcry exchange. Stockbrokers met on the trading floor or the Palais Brongniart. In 1986, the CATS trading system was introduced, and the order matching process was fully automated. From time to time, active trading (especially in large blocks of securities) have moved away from the 'active' exchanges. Securities firms, led by UBS AG, Goldman Sachs Group Inc. and Credit Suisse Group, already steer 12 percent of U.S. security trades away from the exchanges to their internal systems. That share probably will increase to 18 percent by 2010 as more investment banks bypass the NYSE and NASDAQ and pair buyers and sellers of securities themselves, according to data compiled by Boston-based Aite Group LLC, a brokerage-industry consultant. Now that computers have eliminated the need for trading floors like the Big Board's, the balance of power in equity markets is shifting. By bringing more orders in-house, where clients can move big blocks of stock anonymously, brokers pay the exchanges less in fees and capture a bigger share of the $11 billion a year that institutional investors pay in trading commissions... In 12th century France the courratiers de change were concerned with managing and regulating the debts of agricultural communities on behalf of the banks. Because these men also traded with debts, they could be called the first brokers. A common misbelief is that in late 13th century Bruges commodity traders gathered inside the house of a man called Van der Beurze, and in 1309 they became the "Brugse Beurse", institutionalizing what had been, until then, an informal meeting, but actually, the family Van der Beurze had a building in Antwerp where those gatherings occurred; the Van der Beurze had Antwerp, as most of the merchants of that period, as their primary place for trading. The idea quickly spread... In the middle of the 13th century, Venetian bankers began to trade in government securities. In 1351 the Venetian government outlawed spreading rumors intended to lower the price of government funds. Bankers in Pisa, Verona, Genoa and Florence also began trading in government securities during the 14th century. This was only possible because these were independent city states not ruled by a duke but a council of influential citizens. Italian companies were also the first to issue shares. Companies in England and the Low Countries followed in the 16th century. The Dutch East India Company (founded in 1602) was the first joint-stock company to get a fixed capital stock and as a result, continuous trade in company stock emerged on the Amsterdam Exchange. Soon thereafter, a lively trade in various derivatives, among which options and repos, emerged on the Amsterdam market. Dutch traders also pioneered short selling...
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Securities and Exchange Commission

Securities and Exchange Commission

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  • Duration: 1:29
  • Updated: 28 Apr 2016
  • views: 6
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Securities and Exchange Commission

Securities and Exchange Commission

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  • Duration: 2:45
  • Updated: 07 Apr 2016
  • views: 42
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SEC - Securities and Exchange Commision

SEC - Securities and Exchange Commision

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  • Duration: 6:33
  • Updated: 27 Feb 2016
  • views: 127
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3. Securities and Exchange Commission

3. Securities and Exchange Commission

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  • Duration: 0:32
  • Updated: 27 Sep 2016
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Secure Document Exchange webinar

Secure Document Exchange webinar

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  • Duration: 9:42
  • Updated: 17 Mar 2016
  • views: 17
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How to use Secure Document Exchange
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