Nasdaq Stock Exchange

The Securities and Exchange Commission has the mission of protecting investors by maintaining fair, orderly and efficient markets. The SEC does this in a number of ways, and firms need to pay attention to these ways in order to ensure SEC compliance. The SEC has enforcement authority over a number of areas related to the nation's capital markets, including insider trading, accounting fraud, and providing false information. The SEC's jurisdiction extends to all securities that are traded publicly. Privately-held companies do not need to register with the SEC (SEC.gov, 2012).

The Securities Exchange Act of 1934 was passed by congress to strengthen the government’s control of the financial markets. It was preceded by the Securities Exchange Act of 1933 which was enacted during the Great Depression in hopes that the stock market crash of 1929 would not be repeated. The basic difference between the two acts was that the 1933 Act was to govern the original sales of securities by requiring that the issuers, the companies offering the securities, offer up sufficient information about themselves and the securities so that the potential buyers could make informed decisions. The 1934 Act was

1. In terms of my personal characteristics, risk preference, and market beliefs, I concluded my investment philosophy as the following:

Week 7 Chapter 6: Investors in the Share Market True/False QUESTIONS 1. Investing in shares of publicly listed corporations should, on average, over time provide a higher return than investing in fixed-interest securities. a. True b. False 2. Investments through a stock exchange are limited to ordinary shares issued by listed corporations. a. True b. False 3. Portfolio theory contends that a diversified share portfolio enables an investor to significantly reduce the portfolio’s exposure to systematic risk. a. True b. False 4. A share that has a beta of one is twice as risky as an average share listed on a stock market. a. True b. False 5. Shares that typically demonstrate a negative price correlation will usually move in the same direction

First Data Corporation powers the global economy by making people and businesses to purchase products and services easily, quickly and securely, using virtually all types of electronic payments. No matter if a payment is made with a gift card, a credit or debit card, or even a check, First Data always processes the transaction and safely use the power of information in favor of millions of merchants and thousands card issuers distributed among 36 countries, offering them intelligent services and greater awareness of their customers. They also offers a set of solutions to help

Which classification system is available with EQS as a criteria for your screen of equities?

This is called insider trading and is one of the acts that the SEC is responsible for stopping. One of the most famous cases occurred in late 2001 in which one of America’s most famous woman was arrested. This person was Martha Stewart someone who everyone in America has seen on T.V. countless times. Stewart who owned four thousand shares of ImClone stock was imprisoned for five months after being found guilty of insider trading by the SEC. The C.E.O of the company ImClone, Sam Waksal was found to be the main culprit in the case. Waksal discovered that his company would be taking a huge hit in the stock market. The C.E.O urged his broker to sell the stock because if he were too keep it would have lost hundreds of thousands of dollars. When asking his broker to dump the stock a natural instinct took over and the broker knew that something was going to happen to the company forcing its stock to drop. Waksal and Stewart however shared the same broker, when the news was conveyed to the broker Martha was urged to sell her stocks. After she did the SEC charged her with insider trading for selling her stock with illegal information. Even though Martha did not directly receive the information she still used critical information that was only available to a select few in her favor. This forced the SEC to carry out its purpose and maintain fair, orderly, and efficient

The Dow Jones Industrial Average is very significant in that it is used as a measure of how the economy is supposedly doing. If the DOW were to fall people believe that the US economy will fall. It includes multiple different types of industries, which is why it helps give a representation of how the market is doing. The DOW also helps to compare our market now to our markets in the past (Investopedia). It is also significant simply because of its history. The DOW dates back to 1897; making it an old yet reliable source. One last reason the DOW is widely significant is because it is constantly being refreshed. Its changes are broadcasted every half hour giving people a clear update on how it is doing (New York Times). The NASDAQ is also of

The Dow Jones Industrial Average (DJIA) is on the cusp of crossing 20,000 points. Let that sink in.

Wall street is said to be the home of the New York Stock Exchange; the New York stock exchange the world’s largest stock exchange by total market capitalization according to Forbes magazine. Major exchange has had or has also their headquarters in the Wall Street area and this includes NASDAX, The New York Board of Trade, and New York Mercantile Exchange. The Occupy Wall Street movement is a global protest movement against Social and Economic inequality with the primary goal to make the economic and political relationships in the society more equitable distribution of wealth and less vertically hierarchical. This movement, which is a global movement, which has reached nearly every continent in the last year, started September 17,

1) In contrast to the organized exchanges, the NASDAQ limit orders are not exposed to the public. These orders are executed only if the inside spread reaches the limit price. Therefore, the public can not directly compete with NASDAQ market makers by using limit orders. The insider quotes do not reflect the existence of the limit order.

Institutions often trade of shares and institutional order’s can have a major impact on market volatility. In smaller markets, institutional trades can potentially destabilize the markets. Moreover, institutions also have to design and time their trading strategies carefully so that their trades have maximum possible

Dark pools get their name from that the details of the trade are concealed from the public. Dark pools is a term for private forums or exchanges for trading securities, they are not accessible by the investigating public and therefore they lack transparency. Dark pools gives the opportunity to facilitate block trading between institutional investors who don’t want to impact the market price with their large orders which could consequence the price of the trades. Hence dark pools gives the Institutional sellers a better chance getting a buyer for the whole blocks of shares than normal exchanges hence Dark pools are dedicated to large

MARKET ORDERS: Market orders are buying or selling orders that are to be executed immediately at current market prices. For example, our investor might call her broker and ask for the market price of IBM. The broker might report back that the best bid price is $90 and the best ask price is $90.05, meaning that the investor would need to pay $90.05 to purchase a share, and could receive $90 a share if she wished to sell some of her own holdings of IBM. The bid-ask spread in this case is $.05. So an order to buy 100 shares “at market” would result in purchase at $90.05, and an order to “sell market” would be executed at $90.

Money market behavior in Singapore can be affected by a lot of economic factors. Singapore money market often called Singapore Interbank Offered Rate (SIBOR). Monetary policy was the first factor that can affect SIBOR. Monetary Authority of Singapore has a duty to promote the stability of price that will support Singapore’s economic growth (Monetary Authority of Singapore 2012). Then, the next factors that affect SIBOR were the strength of Singapore Dollars and the level of inflation (Appendix 1). We will explain about the Singapore money market rates behavior over the past three years (2010, 2011, and 2012) and we will try to predict it over the six months.