The Securities And Exchange Board Of India Act

This role is achieved through the implantation of the monetary policies. According to Arnold (2008), Fed has several tools at it disposal that it uses in the monetary polices. These are; the open market operations which involve buying and selling U.S government securities in the financial markets. Further the bank is charged with the responsibility of determining the required reserve ratio. This ratio is given to the commercial banks dictating the minimum amounts that they should hold in to their accounts as deposits and for lending. Finally the Fed sets the discount rates putting in to consideration the overall market rates s well as desired effect on borrowing that the Fed seeks to achieve. In addition to these three major roles, as a bank, the Federal Reserve Bank can play the roles played by the commercial banks as the rules are not entirely prohibitive as far as this duty is concerned.

The US Securities and Exchange Commission (SEC) is the US federal agency that holds the primary mandate to enforce federal securities laws and regulations to control the securities industry and the country’s stock exchange and regulation of all activities and organizations including the US electronic securities market. The SEC is committed to promoting a market environment that yields public trust characterized by integrity to attain its mission of protecting investors through maintenance of fair and efficient markets through facilitation of capital information (Basagne, 2010). The SEC financing is a major area of focus since there has been major concern regarding the SEC agency financing and whether they utilize the

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 SEC assists in providing investors with reliable information upon which to make investment decision. The Securities Act of 1933 requires most companies planning to issue new securities to the public to submit a registration statement to the SEC for approval. The Securities Exchange Act of 1934 provides additional protection by requiring public companies and others to file detailed annual reports with the commission. Smackey Dog Food, need to file next forms:

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

That is to say, the Federal Reserve's job is to maintain an accurate banking structure and a healthy economy. To fulfill its mission, the Federal Reserve presents itself as the financial institutions bank, the ministry's treasury, the director of monetary organizations and the nation's currency

The Securities and Exchange Commission (SEC) establishes and improves standards of financial accounting and reporting for the guidance and education of the public.

regulate commerce, to control the currency and to pass laws necessary in order to function

One of the responsibilities or purpose of the Fed, is to creating the nation’s monetary policy by persuading money and credit conditions in the economy to gain full employment and stable prices. Another job the Fed had was watching and instructing banks, and other important financial institutions. To make

The federal reserve system was made up to conducting monetary policy, supervising and regulating depository institutions, maintaining the stability of the financial system, and providing payment and other financial services to the U.S. government, the public, financial institutions, and foreign official institution

The Federal Reserve, Bureau of Labor Statistics, Department of Labor, Department of Commerce and Treasury Department play crucial roles in the value and availability of money in the USA economy. First, the Federal Reserve is the central bank of the United States. It is run by a Board of Governors appointed by the president and serves as a bank to banks. It performs five general functions to promote the effective operation of the U.S. economy. One, it conducts the nation's monetary policy to promote maximum employment, stable prices, and moderate long-term interest rates in the U.S. economy. Second, it promotes the stability of the financial system and seeks to minimize and contain systemic risks through active monitoring and engagement in the

The transition office has also established transition plans which will guide the new regulator with its anticipated regulatory approach, through its governance structure, organization design and implementation. Additional information provided by Department of Finance of Canada furthermore explained that once favorable ruling received from the Supreme Court of Canada, the government of Canada will introduce the securities act to parliamentary legislative process.

The SEC is the administrative agency responsible for regulating the sale of securities under both the 1933 and 1934 acts (Jennings, 2012). The Sec is responsible for issuing injunctions, institute criminal proceeding; bring civil suits and etc. (Jennings, 20104). The SEC gives organizations exemptions such as the Exempt Securities, Exempt Transactions and the offering of securities.

One of the SEC functions is to supervise the participants in the area of securities world. The securities would include the areas of securities exchanges, securities brokers and dealers, mutual funds as well as investment advisors. Another function the SEC provides is the promotion of disclosure of market related information and to maintain appropriate dealings. In addition, as a yearly procedure the SEC submits civil enforcement actions to those individuals and companies violating any of the securities laws. The infractions can include accounting fraud, trading misconduct, and providing deceptive as well as false information in regards the company’s procedures or securities. In doing this yearly event and disclosing market related data, it allows the SEC to protect companies and individuals against fraud.

Securities regulations began in 1933 as a reaction to securities market violations. Securities regulations are a balance of investor and issuer interests. Regulations have typically been enacted in reaction to a violation that affects many, including issuers, investors, and the public. These regulations are not only created in reaction to violations, but the legislature also attempts to take a bigger step in prevention of the same violation reoccurring, as well as preventing a violation that has yet to occur. In other words, securities regulations have always been on a mission to stay one step ahead of securities violations from both issuers and investors. Regulations tend to tighten the rules to ensure investors and issuers do not have