Which of the following are issued by the securities and exchange commission?
Chapter I General Principles Show (Legislative Intent) (Applicable Scope) (Competent Authority) (Definition of Company) (Definition of Issuer) (Definition of Securities) (Definitions of Public Offering, Private Placement) (Definition of Issuance) (Definition of Underwriting) (Definition of Stock Exchange) (Definition of Centralized Securities Exchange Market) (Definition of Prospectus) (Definition of Financial Reports and Regulations Governing Their Preparation) (Establishment of Internal Control Systems) (Appointment and Qualifications of Independent Directors) (Matters Required to Be Submitted for Approval by Resolution of the Board of Directors) (Appointment of Audit Committee or Supervisors) (Company Matters Requiring Consent of the Audit Committee) (Appointment of a Remuneration Committee) (Types of Securities Business) (Types of Securities Firms) (Approval for Operation) (Provisions Applied Mutatis Mutandis) (Method for Entering Into Contracts) (Duty of Good Faith and Liability for Damages (1)) (Duty of Good Faith and Liability for Damages (2)) (Time Limitations on Claims for Damages) (Signing of Treaties or Agreements for International Cooperation ) Chapter II The Offering, Issuing, Private Placement, and Trading of Securities Section I The Offering, Issuing, and Trading of Securities (Public Offering and Issuance of Securities) (Shareholding Dispersal Standards for Issues of New Shares for Capital Increase) (Methods for Transfer of Stock by Directors, Supervisors, Managerial Officers, and 10-Percent Shareholders) (Time Limitation on Transfer of Stock Warrant Certificates) (Constructive Provision Regarding the Status, Following an Issue of New Shares Under the Act, of Pre-Existing Shares That Have Not Been Duly Issued) (Filing of the Shareholdings of Directors, Supervisors, Managerial Officers, and 10-Percent Shareholders) (Regulations Governing the Management of Proxies) (Minimum Percentages of Registered Shares to Be Held by Directors and Supervisors) (Content Required to Be Specified in Shareholders Meeting Notice) (Period and Method for Shareholders Meeting Notice to Small Registered Shareholders) (Directors and Supervisors) (Maximum or Minimum Par Value Per Share and Changes to Par Value) (Required Public Offering Percentage for New Share Issues by a Public Company) (Share Buyback) (Exercise of Warrants) (Total Issue Amounts of Corporate Bonds) (Issues With a Guaranty Provided by a Financial Institution) (Documents Required for Application for Approval of Issuance) (Delivery of the Prospectus) (Liability for False Information or Omission in the Prospectus) (Payment for Subscription of Stocks or Bonds) (Delivery of Stocks or Corporate Bonds) (Certification) (Financial Report Publication and Filing Deadlines) (Regulations Governing Major Financial or Operational Actions of Companies) (Regulation of CPA Auditing and Attestation) (Protective Measures for Issues) (Examination by the Competent Authority) (Penalties for Issuer Non-Compliance With Laws or Regulations) (Prohibition of Citing Approval for Offering to Support Promotional Appeals) (Order to Set Aside Special Reserve) (Retroactive Handling of Procedures for Examination and Approval of Public Issuance) (Payment or Settlement of Securities Trades) Section II Purchase of Securities (Regulation of Public Tender Offers for Securities) (Prohibition of Adverse Changes to Public Tender Offer Conditions) (Prohibition During the Public Tender Offer Period of Purchase By Any Other Means of the Same Type of Securities of the Public Company or Beneficial Securities of the Real Estate Investment Trust Under the Real Estate Securitization Act) (Public Tender Offer Prospectus) (Public Tender Offer Suspension Conditions and Amendments to the Public Tender Offer Report) Section III Private Placement and Trading of Securities (Private Placement of Securities and Corporate Bonds) (Conduct Prohibited With Respect to the Private Placement and Resale of Securities) (Conditions for Further Transfer of Privately Placed Securities) Chapter III Securities Firms Section I General Provisions (Approval for Business and Approval for Establishment of a Branch Unit) (Exemption From the Act Within Periods and Scopes as Approved to Facilitate Innovation in Financial Technologies and Promote the Financial Regulatory Sandbox) (Restrictions on Concurrent Operations and Investment) (Distinguishing Between Concurrently Operated Types of Trading) (Qualification of a Securities Firm) (Minimum Capital Requirement for a Securities Firm) (Limit on Aggregate Liabilities of a Securities Firm) (Company Nomenclature of Securities Firms) (Restrictions on Concurrent Service of Directors, Supervisors, and Managerial Officers) (Disqualifications and Discharge of Directors, Supervisors, or Managerial Officers) (Disqualifications of Associated Persons) (Operation Bond) (Sanctions for Legal Violations of Securities Firms) (Voidance of Approval) (Filing of Commencement or Suspension of Business by a Securities Firm) (Voidance of Approval) (Conduct Prohibited by Securities Firms) (Limits and Margin Requirements for Margin Purchases and Short Sales of Securities) (Restrictions on Over-the-Counter Trading) (Mutatis Mutandis Application of Article 36) (Protective Measures) (Corrective Order and Correction of Non-Compliance) (Sanctions for Legal Violations by Securities Firms) (Winding Up of Business) (Constructive Provision for Continued Qualification for Operations) (Filing for Registration of Dissolution or Partial Business Cessation) (Regulations Governing Responsible Persons and Associated Persons of Securities Firms) Section II Securities Underwriting (Firm Commitment Underwriting of Securities) (Best Efforts Underwriting of Securities) (Prohibition Against Underwriter Acquiring Shares Underwritten by It) (Regulations Governing Sale of Shares Subscribed by Underwriter) (Delivery of the Prospectus by the Underwriter) (Restrictions on the Total Amount of Firm Commitment Underwriting of Underwriters) (Standards for Compensation for Firm Commitment Underwriting and Commission for Best Efforts Underwriting) Section III Securities Dealers (Capacities of a Securities Dealer) (Restrictions on Those Currently Conducting Underwriting Business) Section 4 Securities Brokers (Approval of the Rate for Commission) (Report and Reconciliation Statement) (Order Form) (Retention of Documents) Chapter IV Securities Dealers Association (Securities Association Membership) (Content of the Articles of Association and Direction and Supervision of Business) (Protective Measures) (Legal Violations by Directors or Supervisors) Section 1 General Provisions (Special Approval or Permit for Establishment) (Organization of a Stock Exchange) (Standards for the Establishment of Stock Exchanges) (Restrictions on Eligibility to Operate) (Name) (Restrictions on Business) (Operation Bond) (Voidance of Special Approval or Permit) (Direction, Supervision, and Regulation) Section 2 Membership Stock Exchange (Nature of a Membership Stock Exchange and Membership Eligibility) (Restriction on Number of Members) (Articles of Association) (Withdrawal from Membership) (Contribution to the Settlement and Clearing Fund and Payment of Transaction Charges) (Contribution and Liability) (Penalties for Legal Violations by Members) (Expulsion) (Winding Up of Trades After Withdrawal from Membership or Suspension of Trading) (Numbers and Qualifications of Directors and Supervisors) (Mutatis mutandis Application of Article 53 to Directors, Supervisors, and Managerial Officers) (Prohibition of Concurrent Service) (Prohibition of Benefit Seeking by Insiders) (Discharge of Directors, Supervisors, or Managerial Officers for Legal Violations) (Mutatis Mutandis Application of the Company Act) (Utilization of the Settlement and Clearing Fund) (Prohibition Against Disclosure of Confidential Trading Information) (Provisions Regarding Directors and Supervisors Applicable Mutatis Mutandis to the Legal Representatives Thereof) (Causes for Dissolution) (Provisions Applied Mutatis Mutandis to the Qualifications and Discharge of Associated Persons) Section 3 Company-Type Stock Exchange (Organization of a Company-Type Stock Exchange) (Articles of Incorporation) (Prohibition of Concurrent Service by Securities Firms and Their Shareholders or Employees) (Prohibition of Trading of Stock) (Prohibition of Issuance of Bearer Stock) (Entering Into a Contract for Use of the Market) (Grounds for Termination of the Contract) (Contribution to the Settlement and Clearing Fund and Payment of Transaction Charges) (Penalties for Violation of Article 110) (Provisions Applied Mutatis Mutandis to Termination of Contract) (Contractual Obligation to Wind Up Trades for Others) (Obligation to Wind Up) (Provisions Applicable Mutatis Mutandis) Section 4 Listing and Trading of Securities (Matters to Be Prescribed in the Business Bylaws or Operating Rules) (Applications for Listing of Securities) (Adoption of Rules Relating to the Examination of Securities for Listing and to the Contract for Public Listing) (Entering Into and Recordation of the Listing Contract) (Securities Trading) (Listing Fee and Rate) (Delisting) (Delisting) (Recordation of Suspension or Resumption of Trading) (Order for Suspension of Trading or Delisting) (Listing of Government Bonds) (Securities Trading Venue and Exceptions) (Persons Eligible to Trade on a Centralized Securities Exchange Market) (Reporting of Suspension or Reopening of the Market) (Handling of Failure to Perform Delivery Obligations) (Compensation Reserve and Priority of Claims) (Conduct Prohibited With Respect to Listed Securities) (Handling of Securities Events Affecting Market Order or Prejudicial to Public Interest) (Right of Disgorgement) (Regulation of Insider Trading) Section 5 Securities Brokerage Transactions (Brokerage Contract Regulations) (Prohibition of Discretionary Trading) (Premises for Taking Brokerage Orders) (Protective Measures) (Protective Measures) (Sanctions for Legal Violations by Securities Exchanges) (Supervisory Personnel) (Compliance with Directions of Supervisory Personnel) Chapter V-1 Foreign companies (Provisions Applicable Mutatis Mutandis to Foreign Companies with a Primary Listing on the Exchange or OTC Market and Foreign Emerging Stock Companies) (Provisions Applicable Mutatis Mutandis to Foreign Companies with a Secondary Listing on the Exchange or OTC Market) (Administration of Foreign Companies) (Agreed Arbitration and Compulsory Arbitration) (Legal Defense Against an Action) (Appointment of Arbitrators) (Sanction for Failure to Perform Arbitral Award or Settlement) (Adoption of Arbitration Provisions) Chapter VII Penal Provisions (Penal Provisions) (Penal Provisions) (Penal Provisions) (Penal Provisions) (Penal Provisions) (Penal Provisions) (Penal Provisions) (Penal Provisions) (Penal Provisions) (Penal Provisions) (Person Punishable for Violation of the Act by a Juristic Person or Foreign Company) (Penal Provisions) Chapter VIII Supplementary Provisions (Constructive Provision Regarding Public Issuance) (Establishment of a Specialized Court Division or Designate of a Specific Person for Trial of Criminal Cases) (Time of Application) (Enforcement Rules) (Date of Enforcement) What is the Securities and Exchange Commission quizlet?The Securities and Exchange Commission (SEC) is a government commission created by Congress to regulate the securities markets and protect investors SEC founded in 1930. In addition to regulation and protection, it also monitors the corporate takeovers in the U.S. speculating.
What does the securities and exchanges Commission deal with?The Securities and Exchange Commission oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud.
What are the 5 functions of SEC?5 Functions of the U.S. Securities and Exchange Commission. Looking Toward the Future. Protection continues to become more important as more first-time investors enter the market. ... . Creating Fair Markets. ... . Ensuring Corporate Disclosure. ... . Protecting Investors. ... . Enforcing the Law.. Which securities are issued?In the primary market, securities are directly issued by companies to investors. Securities are issued either by an Initial Public Offer (IPO) or a Further Public Offer (FPO). An IPO is the process through which a company offers equity to investors and becomes a publicly-traded company.
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