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What is the role of the SEC in the stock market?
What is the role of the SEC in the stock market?
Order ID 53563633773 Type Essay Writer Level Masters Style APA Sources/References 4 Perfect Number of Pages to Order 5-10 Pages Description/Paper Instructions
What is the role of the SEC in the stock market?
The SEC (Securities and Exchange Commission) plays a vital role in the stock market as the regulator of the securities industry. The SEC’s primary goal is to protect investors and ensure the integrity, fairness, and transparency of the U.S. securities markets.
The SEC performs several key functions to achieve these objectives, including:
Regulating the securities markets: The SEC oversees the major stock exchanges, such as the New York Stock Exchange and NASDAQ, and regulates the securities industry to ensure that it operates fairly and transparently. The SEC sets rules and standards for the securities industry and enforces them to prevent market abuse, such as insider trading and market manipulation.
Registering and regulating securities offerings: The SEC requires companies that want to issue securities to the public to register their offerings and provide full disclosure to potential investors. This includes information about the company’s financial condition, business operations, and other material information that investors need to make informed investment decisions. The SEC reviews and approves initial public offerings (IPOs) and other securities offerings to ensure that they are consistent with federal securities laws and that investors are fully informed.
Enforcing federal securities laws: The SEC has the authority to enforce federal securities laws, including insider trading and fraud. The SEC can bring civil enforcement actions against companies and individuals that violate securities laws, and can refer cases to the Department of Justice for criminal prosecution. The SEC also has the power to investigate potential violations and take action to prevent future abuses.
Protecting investors: The SEC’s primary goal is to protect investors and ensure that they have the information they need to make informed investment decisions. The SEC requires companies to provide full disclosure about their financial condition, business operations, and other material information, so that investors can make informed investment decisions.
Administering disclosure requirements: The SEC requires public companies to file periodic reports, such as annual reports and quarterly financial statements, to provide investors with updated information about their financial condition and performance. The SEC also requires companies to disclose material events that could affect their financial condition or performance, such as significant changes in operations or management, mergers and acquisitions, and other major transactions.
In addition to its regulatory role, the SEC also provides educational resources and investor information to help individuals make informed investment decisions. The SEC’s website offers a wide range of information, including investor bulletins, educational videos, and resources for investors who have been the victims of fraud.
The SEC operates independently, and its budget is funded by the fees that it collects from the securities industry. The SEC is headquartered in Washington, D.C., and is composed of five commissioners who are appointed by the President of the United States and confirmed by the Senate.
In conclusion, the SEC plays a critical role in the stock market as the regulator of the securities industry. The SEC’s responsibilities include regulating the securities markets, registering and regulating securities offerings, enforcing federal securities laws, protecting investors, and administering disclosure requirements. The SEC’s goal is to ensure the integrity, fairness, and transparency of the U.S. securities markets and to protect investors by providing them with the information they need to make informed investment decisions.
What is the role of the SEC in the stock market?
RUBRIC
QUALITY OF RESPONSE NO RESPONSE POOR / UNSATISFACTORY SATISFACTORY GOOD EXCELLENT Content (worth a maximum of 50% of the total points) Zero points: Student failed to submit the final paper. 20 points out of 50: The essay illustrates poor understanding of the relevant material by failing to address or incorrectly addressing the relevant content; failing to identify or inaccurately explaining/defining key concepts/ideas; ignoring or incorrectly explaining key points/claims and the reasoning behind them; and/or incorrectly or inappropriately using terminology; and elements of the response are lacking. 30 points out of 50: The essay illustrates a rudimentary understanding of the relevant material by mentioning but not full explaining the relevant content; identifying some of the key concepts/ideas though failing to fully or accurately explain many of them; using terminology, though sometimes inaccurately or inappropriately; and/or incorporating some key claims/points but failing to explain the reasoning behind them or doing so inaccurately. Elements of the required response may also be lacking. 40 points out of 50: The essay illustrates solid understanding of the relevant material by correctly addressing most of the relevant content; identifying and explaining most of the key concepts/ideas; using correct terminology; explaining the reasoning behind most of the key points/claims; and/or where necessary or useful, substantiating some points with accurate examples. The answer is complete. 50 points: The essay illustrates exemplary understanding of the relevant material by thoroughly and correctly addressing the relevant content; identifying and explaining all of the key concepts/ideas; using correct terminology explaining the reasoning behind key points/claims and substantiating, as necessary/useful, points with several accurate and illuminating examples. No aspects of the required answer are missing. Use of Sources (worth a maximum of 20% of the total points). Zero points: Student failed to include citations and/or references. Or the student failed to submit a final paper. 5 out 20 points: Sources are seldom cited to support statements and/or format of citations are not recognizable as APA 6th Edition format. There are major errors in the formation of the references and citations. And/or there is a major reliance on highly questionable. The Student fails to provide an adequate synthesis of research collected for the paper. 10 out 20 points: References to scholarly sources are occasionally given; many statements seem unsubstantiated. Frequent errors in APA 6th Edition format, leaving the reader confused about the source of the information. There are significant errors of the formation in the references and citations. And/or there is a significant use of highly questionable sources. 15 out 20 points: Credible Scholarly sources are used effectively support claims and are, for the most part, clear and fairly represented. APA 6th Edition is used with only a few minor errors. There are minor errors in reference and/or citations. And/or there is some use of questionable sources. 20 points: Credible scholarly sources are used to give compelling evidence to support claims and are clearly and fairly represented. APA 6th Edition format is used accurately and consistently. The student uses above the maximum required references in the development of the assignment. Grammar (worth maximum of 20% of total points) Zero points: Student failed to submit the final paper. 5 points out of 20: The paper does not communicate ideas/points clearly due to inappropriate use of terminology and vague language; thoughts and sentences are disjointed or incomprehensible; organization lacking; and/or numerous grammatical, spelling/punctuation errors 10 points out 20: The paper is often unclear and difficult to follow due to some inappropriate terminology and/or vague language; ideas may be fragmented, wandering and/or repetitive; poor organization; and/or some grammatical, spelling, punctuation errors 15 points out of 20: The paper is mostly clear as a result of appropriate use of terminology and minimal vagueness; no tangents and no repetition; fairly good organization; almost perfect grammar, spelling, punctuation, and word usage. 20 points: The paper is clear, concise, and a pleasure to read as a result of appropriate and precise use of terminology; total coherence of thoughts and presentation and logical organization; and the essay is error free. Structure of the Paper (worth 10% of total points) Zero points: Student failed to submit the final paper. 3 points out of 10: Student needs to develop better formatting skills. The paper omits significant structural elements required for and APA 6th edition paper. Formatting of the paper has major flaws. The paper does not conform to APA 6th edition requirements whatsoever. 5 points out of 10: Appearance of final paper demonstrates the student’s limited ability to format the paper. There are significant errors in formatting and/or the total omission of major components of an APA 6th edition paper. They can include the omission of the cover page, abstract, and page numbers. Additionally the page has major formatting issues with spacing or paragraph formation. Font size might not conform to size requirements. The student also significantly writes too large or too short of and paper 7 points out of 10: Research paper presents an above-average use of formatting skills. The paper has slight errors within the paper. This can include small errors or omissions with the cover page, abstract, page number, and headers. There could be also slight formatting issues with the document spacing or the font Additionally the paper might slightly exceed or undershoot the specific number of required written pages for the assignment. 10 points: Student provides a high-caliber, formatted paper. This includes an APA 6th edition cover page, abstract, page number, headers and is double spaced in 12’ Times Roman Font. Additionally, the paper conforms to the specific number of required written pages and neither goes over or under the specified length of the paper.
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