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Courses SEC - Understanding Stock Market

Courses SEC - Understanding Stock Market

Provided by a previous Assistant Chief Accountant with the SEC's Division of Corporation Finance, this initial course offers an introduction of the SEC as a federal independent regulatory agency managing financial reporting compliance by U.S. exchange listed public business, the primary federal securities laws appropriate to public business and initial public offering (IPO) prospects, and the SEC's relevant primary types and regulations. The course is created for financing, accounting and auditing specialists interested in or responsible for SEC compliance and reporting.

Significant Topics:

- Summary of the SEC and its regulatory role, structure and politics

- Principal federal securities laws for public companies and IPO candidates

- Principal '33 Act registration forms for public business and IPO candidates

- Principal '34 Act periodic reporting forms for public business

- Principal regulations, guidelines and interpretations

  - Filer designations and associated statutory reporting deadlines

Courses SEC

1. SEC

The stock exchange is controlled by a Securities and Exchange committee known as the SEC. A company can be fined by SEC if the company is not following certain regulative demands, for instance, failure to submit revenues files of the business online and so on


2. Commission

This is the charge that you will have to pay for whenever when you purchase a security or when you sell a security. We called it the commission and it can vary from one brokerage firm to another depending upon the kind of brokerage company that you are making use of.


3. Stockbroker

People who transact the sale of shares are known as stockbrokers. Stockbrokers are utilized by brokerage houses.


4. Complete Vs Online Brokerage Firms

There are numerous different types of brokerage companies available for the financiers. There are the completes brokers which might charge higher commissions for their services and which may be for some individuals. There are also the discount brokerage firms or online brokerage and these companies usually charge lower commissions.


5. Public Companies

Companies whose shares are being traded on a stock market are called public business or public listed business. A company can not go "public" on the stock exchange simply due to the fact that they want to. They need to be accepted prior to they can sell the shares of their business in the stock market.


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Courses SEC - Kinds of Securities:


In general securities are either noted or are non-prescription. It is the former one that is most connected with stock markets and trading. The listed securities need to satisfy numerous reporting and financial requirements before they can be noted and are then controlled by the SEC along with the exchange on which they are noted. The securities themselves can be in any type of company


The other kind of security are the OTCs which are securities for non-listed business, can even be personal or small and closed companies who are too little or do not satisfy the full criteria for listing on the complete exchanges but want to establish some outside financial investment. These business are usually listed on the 'pink sheets' but info can be very little and care needs to be taken when picking an OTC especially as many business in bankruptcy are listed on the "pinks".


Regulation and Oversight:


Throughout the world there are regulatory bodies handling and managing the stocks. In the United States this body is the Securities and Exchange Commission (SEC) and their remit is to guarantee that the interest of the financiers is safeguarded, amongst other things. Their statement says that it has the "mission is to secure investors, keep fair, orderly, and efficient markets, and help with capital development". Among the most important things to keep in mind is that the SEC is not aligned with federal government or any political parties.




Trading on the stock markets nowadays really is a worldwide affair with equities for corporations, large and small, being traded. There many gamers who all collaborate to produce a market that is effective and enables opportunities for financiers big and little, institutional and personal to get involved. The indexes made use of to measure the marketplace are an important barometer of the country's and international economic health and from these and declarations made in reference to the country. It is for this last reason that even if you do not have the resources or don't have the desire to invest it is still advised to keep track of and try to understand the systems of the stock exchange as they can assist direct towards rational monetary positions and choices.