The Securities and Exchange Commission

Publicly traded companies are subject to the reporting and disclosure requirements of the Securities Exchange Commission (SEC). The laws that govern the securities industry were established to provide transparency to investors, creditors and shareholders alike. According to Hoyle, Schaefer & Doupnik, (2015) there are seven major disclosure requirements, the first being a five-year summary of operations to encompass sales, assets, income from continuing operations. Followed by a description of business activities, a three year summary of industry segments to include foreign and domestic operations, a list of company directors and executives, quarterly market price of common stock for the last two years, restrictions on the company’s ability to continue paying dividends, and finally, an analysis of the company’s financial condition, changes in the conditions and results of operation.

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 SEC was created due to the stock market crash of 1929 which led to the great depression. The SEC was created to protect investors in security exchanges such as the stock market. It is responsible for oversight of both private investment and corporate investment dealings.

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

The SEC was created to help investors get reliable information about the company they are investing in. 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. The SEC follows the GAAP’s reporting requirement for financial statements. As for Smackey Dog Food they are a

The Federal Trade Commission (FTC) was created in 1914 primarily as a way for the government to “trust bust” or apply regulations ensuring a free marketplace for U.S. consumers and business enterprises. In this regard, the FTC enforces antitrust viola- tions that could hamper consumer interests, as well as federal consumer protection laws against fraud, deception, and unfair business practices. The commission’s primary enforcement mechanism is the Bureau of Consumer Protection, which is divided into seven divisions: (1) enforcement, (2) advertising practices, (3) financial practices, (4) marketing practices, (5) planning and information, (6) consumer and business educa- tion programs, and (7) privacy and identity protection.21 As the federal

The effects of the economic market crash of 1929 appeared in how the public sustained severe losses at the hands of securities traders and corporations. With the unmistakable need to restore financial specialist trust in the securities market President Roosevelt pushed for a huge securities regulation and the creation of the Securities Act of 1933 sprouted along with the approval of Congress. Then in a year later in 1934 Congress observed the need to make modifications to the 1933 Act by establishing an independent governmental regulatory body the Securities and Exchange Commission (SEC). The SEC main responsibility came to be to ensure and protect the public against malpractices in the securities and financial markets. As the years passed businesses and technology advances developed and the economic market expanded. With the economy market positive rise many companies needed to keep up and acted upon fraudulent acts in order to stay in the business competition. Companies acted fraudulent by “cooking the books” in recording

On October 24th of 1929, the United States Stock Exchanges fell. They fell more than they have ever in US history, a fact that remains true up to the modern era. Stocks, small pieces of ownership over a specified company, hold monetary value. This value suddenly entered a freefall, as a result of underlying problems in the market leading up to the crash. This crash marked the beginning of the Great Depression, a long period of economic hardship all over the United States and many parts of the industrialized world. Marking a period of economic reconstruction following the Great Depression, President Franklin Roosevelt created the Securities and Exchange Commission, a government organization enacted to gain and maintain a sense of stability in the stock market. The SEC has changed since then, but has continued to secure and protect the stock market.

In the 1970’s, the SEC and the FASB were considering making accounting and financing regulations more important in the business

These acts were a violation of the Securities Act of 1933. The objectives of the Securities Act of 1933 are that investors obtain accurate reports of a company's commerce and to prevent misleading securities sales (USSEC, 2007). Although, the USSEC cannot guarantee the information provided by each company; the Securities Act of 1934 grants authority to the USSEC with disciplinary authorization (USSEC, 2007).

This program evaluation contains the overall progress of the 529 plans and the benefits. The objective of the 529 plans by the Government of United States of America is to provide advantages to the college savers in availing the tax rebates and tax reductions. The educational system is benefiting from these plans and the document provides the analysis of the factors that play their part in the providing the benefit to the sector and the overall economy.

In economic society, most people like to invest their fortunes in the capital market and security market. As more and more investors join in the investing market which is very complex and fascinating, and it can be successful. Unlike the deposits are hypothecated by the federal government, stocks, bonds and other securities can lose value in capital market because their no surety. So the security and exchange commission play an important role in the capital market, and the important thing is the security and exchange commission demands the public companies should be disclose the meaningful financial and other information to the public. This provides an equitable environment and common knowledge

Securities regulations began when Congress enacted the Securities Act of 1933 in reaction to the 1929 Stock Market Crash—the infamous start of the Great Depression. The legislature created the 1933 Act to safeguard the economy from experiencing another event like the Great Depression. The objective of the Securities Act of 1933 was to “require that investors receive financial and other significant information concerning securities being offered for public sale; and prohibit deceit, misrepresentations, and other fraud in the sale of securities.” In other words, the Securities Act of 1933 required issuers to fully disclose all material information that a reasonable shareholder would require in order to make up his or her mind about a potential investment. The Act focuses on governing offerings by issuers and creating transparency between issuers and investors so that investors receive more protection than prior to the Act.