The SecuritiesExchangeAct of 1934 also called the ExchangeAct , 34 Act , or Act of 34 , USStat 48 ... securities in what is known as the primary market . Contrasted with the SecuritiesAct of 1933 , which regulates these original issues, the SecuritiesExchangeAct of 1934 regulates the secondary ... security Section 13 b 3 A of the SecuritiesExchangeAct of 1934 provides that with respect to matters ... s Deskbook SecuritiesExchangeAct of 1934 . University of Cincinnati College of Law . References ... to the exchange to easily acquire securities or to easily dispose of a portfolio of securities, the specialist s role is important to the exchange. Securities associations The 34 Act also regulates ... States federal securities legislation Category 73rd United States Congress fr SecuritiesExchangeAct ... of the financial markets and their participants in the United States. The 1934Act also established the U.S. Securities and Exchange Commission Securities and Exchange Commission SEC , ref James ... market. Securities exchanges One area subject to 34 Act regulation is the actual securitiesexchange the physical place where people purchase and sell securities stocks, bonds, notes of debenture ... , act as middlemen for the competing interests to buy and sell securities. An important function ... the ExchangeAct was amended by the Maloney Act, which authorized the formation and registration of national ... pricing of securities, the 33 Act s disclosure requirement the registration statement and prospectus is a one time affair. The 34 Act extends this requirement to securities traded in the secondary .... As it developed, section 10 b of the 1934Act and corresponding SEC Rule 10b 5 have sweeping ... commerce or of the mails, or of any facility of any national securitiesexchange . . . b To use ... exchange or any security not so registered, or any securities based swap agreement as defined ... Intelligence Czar Can Waive SEC Rules accessdate 2007 10 09 ref See also SecuritiesAct of 1933 ... more details
Securities and Exchange Commission may refer to Securities and Exchange Commission Bangladesh Securities and Exchange Commission Brazil Securities and Exchange Commission of Pakistan Securities and Exchange Commission Philippines Securities and Exchange Commission Poland United States Securities and Exchange Commission Cyprus Securities and Exchange Commission Disambig ... more details
Infobox Exchange name Damascus SecuritiesExchange br logo Image Damascus SecuritiesExchange logo.png centre image type Stock Exchange city Damascus country Syria founded 2009 owner Damascus SecuritiesExchange key people Dr. Rateb Shallah , Chairman , Mohamed Haykal , Deputy Chairman currency Syrian Pound SYP listings 11 mcap volume indexes DSE Weighted Index DWX homepage http www.dse.sy www.dse.sy footnotes The Damascus SecuritiesExchange DSE lang ar is a stock exchange located in Damascus , Syria . Founded in 2009 , it is the only stock exchange in Syria. ref http www.animaweb.org en actu detail.php?actu 5307 ref Its current premises are in the Barzeh district, within Syria s financial markets and securities commission. Its final home is to be the upmarket business district of Yaafur. ref name AP History The market was initiated by Presidential decree no.55 on October 1, 2006. The Stock ExchangeAct established a market for securities trading, known as the Damascus SecuritiesExchange. ref http www.dse.gov.sy user ?page about market ref The market officially opened in February 2009, with a period of mock trading for testing purposes. The first official tradings were launched on Tuesday March 10, 2009. ref name AP http www.google.com hostednews afp article ALeqM5gPsB6CSsyXUgWdxEsC0B O jqV w ref See also Economy of Syria List of stock exchanges References reflist External links http www.dse.sy Damascus SecuritiesExchange Website coord missing Pakistan Category Damascus Category Stock exchanges in Asia Category Economy of Syria Category Buildings and structures in Damascus ... more details
Infobox Government agency agency name Securities and Exchange Commission nativename r logo Sec bd logo.gif logo width logo caption seal seal width seal caption formed Jun 1993 preceding1 dissolved superseding jurisdiction Bangladesh headquarters flagicon Bangladesh Dhaka , Bangladesh employees budget minister1 name minister1 pfo minister2 name minister2 pfo chief1 name Mr. Md. Ziaul Haque Khondker chief1 position Chairman chief2 name chief2 position parent agency child1 agency keydocument1 keydocument2 website http www.secbd.org footnotes The Securities and Exchange Commission SEC is the regulator of the capital market of Bangladesh , comprising Dhaka Stock Exchange and Chittagong Stock Exchange . Background SEC was established on 8 June, 1993 under the Securities and Exchange Commission Act, 1993. The Chairman and Members of the Commission are appointed by the government and have overall responsibility to administer securities legislation. The Commission, at present has three full time members, excluding the Chairman. The Commission is a statutory body and attached to the Ministry of Finance. Mission Protect the interests of securities investors Develop and maintain fair, transparent and efficient securities markets Ensure proper issuance of securities and compliance with securities laws Functions Regulating the business of the Stock Exchanges or any other securities market. Registering ... managers, investment advisers and other intermediaries in the securities market. Registering, monitoring ... and regulating all authorized self regulatory organizations in the securities market. Prohibiting fraudulent and unfair trade practices relating to securities trading in any securities market. Promoting investors education and providing training for intermediaries of the securities market. Prohibiting insider trading in securities. Regulating the substantial acquisition of shares and take over ... of securities, the Stock Exchanges and intermediaries and any self regulatory organization in the securities ... more details
Bank ADB . A Securities and Exchange Commission of Pakistan Act was passed by the Parliament and promulgated in December 1997. In pursuance of this Act , the Securities and Exchange Commission ...Infobox Government agency agency name Securities and Exchange Commission of Pakistan nativename logo logo width logo caption seal seal width seal caption formed January 1st, 1999 preceding1 dissolved superseding jurisdiction Pakistan headquarters flagicon Pakistan Islamabad , Pakistan employees chief1 name Salman Ali Shaikh chief1 position Chairman website http www.secp.gov.pk footnotes The Securities and Exchange Commission of Pakistan SECP is a government agency whose purpose is to develop a modern and efficient corporation corporate sector and a capital market based on sound regulatory principles, in order to foster economic growth and prosperity in Pakistan . Citation needed date April 2010 History The Securities and Exchange Commission of Pakistan was created to succeed the Corporate Law ... aboutus.asp title Establishment of the Securities and Exchange Commission of Pakistan ... ref The Act gave the organization the administrative authority and financial independence to carry ... Benches, as envisaged in the Act . The scope of the authority of the Commission has been extensively ... and Production. Location The Commission s main office is in the Blue Area in Islamabad . br br Securities and Exchange Commission of Pakistan br National Insurance Corporation Building, br Jinnah Avenue ... Economy of Pakistan Karachi Stock Exchange Lahore Stock Exchange Islamabad Stock Exchange International Financial Reporting Standards External links http www.secp.gov.pk Securities and Exchange Commission of Pakistan Website http www.vakilno1.com saarclaw pakistan secrities and exchange commission of pakistan actsecurities and exchange commissi.htm Securities & Exchange Commission of Pakistan Act 1997 http www.secp.gov.pk corporatelaws dec 26 98.htm SECP Corporate Laws http www.brecorder.com ... more details
See Securities and Exchange Commission disambiguation for other similarly named organizations in other countries Infobox Government agency agency name Securities and Exchange Commission nativename logo logo width logo caption seal SEC seal.png seal width 200px seal caption SEC seal formed 1936 preceding1 dissolved superseding jurisdiction Philippines headquarters Mandaluyong City , Metro Manila , Philippines employees chief1 name Fe Barin chief1 position Chairwoman website http www.sec.gov.ph www.sec.gov.ph footnotes The Philippine Securities and Exchange Commission lang fil Komisyon sa mga Panagot at Palitan , commonly known as SEC is a Philippines Philippine state commission responsible for security finance securities laws and regulating the securities industry. The SEC is an agency within the Philippine Department of Finance Philippines Department of Finance . The SEC is currently headquartered in Mandaluyong City in central Metro Manila . History The SEC was created by Congress of the Philippines Congress in 1936 as part of the SecuritiesAct 83 . This occurred just two years after the United States Congress created the United States Securities and Exchange Commission . The first commissioner of the SEC was Ricardo Nepomuceno . The SEC was not in operation during the Military history of the Philippines during World War II Japanese occupation , but was restored in 1947. Composition Since 1981, the SEC has five commissioners. In 2010 the commissioners were Fe Barin Chairwoman, appointed 2004 Juanita Elegir Cueto appointed 2001 Raul Palabrica appointed 2005 Manuel B. Gaite ... The functions of the SEC are defined in Section 5 of the Securities Regulation Code, and include ... suspensions and revocations of their registrations Policymaking with regard to the market in securities ... of securities laws and to impose sanctions for such violations Power to issue subpoena s, punish ... SEC Citizen s Manual http www.chanrobles.com republicactno8799.htm Securities Regulation Code Category ... more details
Image Shanghai Stock Exchange Building.jpg thumb right 200px Shanghai Stock Exchange Building Shanghai SecuritiesExchange Building is a 26 floor tower in the Pudong area of Shanghai . It was designed by WZMH Architects and was completed in 1997. The tower reaches a height of 109 m 358 ft , while the flagpole atop the building adds another 70 m. References http www.emporis.com en wm bu ?id 103753 Shanghai SecuritiesExchange Building br clear all coord missing Shanghai Category Skyscrapers in Shanghai Category Skyscrapers in China PRC struct stub fr Shanghai SecuritiesExchange Building ... more details
The Eastern Caribbean SecuritiesExchange ECSE is the first regional securities market in the Western Hemisphere and a regional Stock exchange , established by the Eastern Caribbean Central Bank ECCB to serve the eight member territories of Anguilla , Antigua and Barbuda , Dominica , Grenada , Montserrat , Saint Kitts and Nevis , Saint Lucia , and Saint Vincent and the Grenadines . Its headquarters are located in the city of Basseterre , on the island of St. Kitts. See also Eastern Caribbean Central Securities Registry External links http www.ecseonline.com Eastern Caribbean SecuritiesExchange web site Category Stock exchanges in the Caribbean Category Economy of the Organisation of Eastern Caribbean States stockexchange stub Caribbean stub Organisation of Eastern Caribbean States OECS ... more details
refimprove date April 2010 Infobox Government agency agency name Securities and Exchange Commission of Brazil nativename r Comiss o de Valores Mobili rios logo cvm br logo.png logo width 135px logo caption seal seal width seal caption formed December 1976 preceding1 dissolved superseding jurisdiction Federative Republic of Brazil headquarters Rio de Janeiro , Brazil employees 450 ref http www.cvm.gov.br port relgest Relat C3 B3riodeGest C3 A3oCVM2008.pdf CVM 2008 Management Report ref budget minister1 name minister1 pfo minister2 name minister2 pfo chief1 name Maria Helena Santana chief1 position Chairperson chief2 name chief2 position parent agency child1 agency keydocument1 website http www.cvm.gov.br footnotes The Securities and Exchange Commission CVM lang pt Comiss o de Valores Mobili rios is the financial regulation financial regulatory authority of the government of Brazil . It regulates the capital markets in Brazil and all its participant. This includes stock exchanges , public ... the proper functioning of the exchange and over the counter markets to protect securities holders against ... ingl indexing.asp English version DEFAULTSORT Securities And Exchange Commission Brazil Category ... under the corporation act as part of Law 6404 76 On Dec 7 2009, CVM enacted a new regulation to enhance the information provided to investors by companies issuing securities in line with International Organization of Securities Commissions guidelines. ref http www.iflr.com Article 2452737 Registration ... held companies and makes sure that those companies adhere to listing rules. It set the rules for securities trading on the stock exchanges and can suspend or cancel trading, issuance or distribution of securities and if necessary suspend stock exchange operations. CVM also has the jurisdiction to establish ... the BM&F Bovespa S o Paulo Stock Exchange the largest stock exchange in South America and the 13th ... Pinto Mr. Eli Loria Mr. Otavio Yazbek Mr. Alexsandro Broedel Lopes See also Securities Commission ... more details
The nihongo JASDAQ SecuritiesExchange Jasudakku Sh ken Torihikisho is a securitiesexchange headquartered in Tokyo , Japan . JASDAQ is not related to NASDAQ in the United States, but operates an electronic trading system similar to NASDAQ . History In 1963, the nihongo Japan Securities Dealers Association Nippon Sh kengy Ky kai set up an Over the counter finance over the counter registration system for trading securities. This system was placed under the management of a private company, nihongo Japan OTC Securities Nippon Tent Sh ken in 1976. The JASDAQ automated quotation system became operational in 1991. In 2004, JASDAQ received a permit from the Prime Minister to reorganize as a securitiesexchange. It became the first new securitiesexchange in Japan in almost fifty years. Hours The exchange has pre market sessions from 08 00am to 09 00am and normal trading sessions from 09 00am to 03 00pm on all days of the week except Saturdays, Sundays and holidays declared by the Exchange in advance. ref Wikinvest List of Stock Exchanges Market Hours, JASDAQ SecuritiesExchange via Wikinvest ref See also List of East Asian stock exchanges References reflist External links http www.jasdaq.co.jp data english guide e1 11.pdf Overview of the JASDAQ coord 35 40 50 N 139 46 46 E region JP type landmark source kolossus jawiki display title Category Stock exchanges in Asia ms JASDAQ SecuritiesExchange ja ru JASDAQ zh JASDAQ ... more details
nofootnotes date December 2010 Image ASCE LOGO.jpg thumb right Logo of the ASCE The Abuja Securities and Commodities Exchange ASCE is besides the Nigerian Stock Exchange one of two principal stock exchange s in Nigeria . It is located in Abuja , the country s Capital political capital , and it was founded in 1998. The ASCE is primarily involved with the trading of commodities such as maize , sorghum and millet , as opposed to trading in security finance securities such as bond finance bond s and company stock . See also Economy of Nigeria List of African stock exchanges External links http www.abujacomex.com ASCE Abuja Securities and Commodities Exchange website http www.abujacomex.com infomarket.asp Commodity price listings Category Economy of Nigeria Category Stock exchanges in Africa Category Commodity exchanges Category Abuja Nigeria stub Africa company stub ... more details
Infobox Government agency agency name Securities and Exchange Board of India nativename logo SEBI logo.svg logo width 150px logo caption seal seal width seal caption picture SEBI Bhavan.jpg picture width 220px picture caption SEBI Bhavan, Mumbai headquarters formed April 12, 1992 preceding1 dissolved superseding jurisdiction Government of India headquarters Mumbai , Maharashtra employees 525 2009 ref name sebi.gov.in http www.sebi.gov.in acts EmployeeDetails.html ref chief1 name Upendra Kumar Sinha chief1 position Chairman website url www.sebi.gov.in footnotes The Securities and Exchange Board of India frequently abbreviated SEBI is the Regulatory agency regulator for the securities market in India. History It was formed officially by the Government of India in 1992 with SEBI Act 1992 ref http 203.199.12.51 acts act15ac.html ch6b ch6b THE SECURITIES AND EXCHANGE BOARD OF INDIA ACT, 1992 No.15 of 1992 ref being passed by the Indian Parliament. SEBI is headquartered ... ref it derived authority from the Capital Issues Control Act, 1947. Organization structure Upendra ... the issuers of securities the investors the market intermediaries. SEBI has three functions ... process to create accountability. There is a Securities Appellate Tribunal which ... See also Bombay Stock Exchange National Stock Exchange of India Forward Markets Commission India Securities Commission Financial regulation List of financial regulatory authorities by country Stock exchange Regulation D SEC Institute of Chartered Accountants of India References reflist External links http www.sebi.gov.in Securities and Exchange Board of India Website DEFAULTSORT U.S. Securities And Exchange Commission Category Executive branch of the Indian government Category Regulatory agencies ... Category Government agencies established in 1992 Category Government agencies of India Category Securities and Exchange Board of India hi mr ... more details
Infobox Company company name Osaka SecuritiesExchange Co., Ltd. br company type Privately ... 207 industry Financial products Stock exchangeSecuritiesexchange homepage http www.ose.or.jp e index.html http www.ose.or.jp e index.html File Osaka SecuritiesExchange 01.jpg thumb right Osaka SecuritiesExchange Building in Chuo ku, Osaka nihongo Osaka SecuritiesExchange Co., Ltd. Kabushiki ... 8697 is the second largest securitiesexchange in Japan , in terms of amount of business handled. As of 31 December 2007, the Osaka SecuritiesExchange had 477 listed companies with a combined market ... SecuritiesExchange Osaka SecuritiesExchange page on Wikinvest ref The Nikkei 225 Futures , introduced at the Osaka SecuritiesExchange in 1988, is now an internationally recognized futures index. In contrast to the Tokyo SecuritiesExchange, which mainly deals in spot trading, the Osaka Securities ... 2003, the Osaka SecuritiesExchange handled 59 of the stock price index futures market in Japan, and almost 100 of trading in the options market. Osaka SecuritiesExchange Co., which listed on its Hercules market for startups in April 2004 is the only Japanese securitiesexchange which went public ... contract futures transactions D jima Rice Exchange lang ja The origin of securities ... securitiesexchange in the nation. Later on, this market was moved to Dojima in 1697, so called ... Co., Ltd. established June 1943 The Exchange became the Osaka Division of the Japan SecuritiesExchange during the Pacific War. August 1945 Japan SecuritiesExchange suspended operations April 1947 Japan SecuritiesExchange dissolved. May 1948 A new Securities and Exchange Law enacted April 1949 Osaka SecuritiesExchange established June 1951 Credit transaction system introduced April 1956 Bond ... Section established January 1999 J NET Market opened March 1999 The Securities Transaction Tax and Exchange ... concluded July 1999 The Exchange obtained a No Action Letter from the US Securities and Exchange ... more details
Infobox Exchange name Royal SecuritiesExchange of Bhutan type Stock Exchange city Thimphu country Bhutan founded 1993 listings 20 ref name rsebl.org.bt Citation publisher rsebl.org.bt title Listed Companies Company Profile url http www.rsebl.org.bt pages subpage.php?pagecode 59&subpagecode 135 accessdate 23 July 2010 ref homepage http www.rsebl.org.bt www.rsebl.org.bt The Royal SecuritiesExchange of Bhutan is the only stock exchange in Bhutan . It is one of the worlds smallest stock exchanges, with a market capitalization of around 171 million dollars and 19 listed companies as of 2008 ref name Reuters Citation publisher Reuters title In Bhutan, a stock trade a day keeps stress away url http www.reuters.com article idUSTRE5B840620091209 accessdate 23 July 2010 date 9 December 2009 ref . It is located in the Royal Insurance Corporation of Bhutan RICBL building in Thimphu. ref name Wet Bhutan and Green Dooars http www.team bhp.com forum travelogues 59190 wet bhutan green dooars 6.html Wet Bhutan and Green Dooars See picures a bit down from the middle of the page. ref The capital for the establishment of the stock exchange has been provided by Bank of Bhutan , the Royal Insurance Corporation of Bhutan , Unit Trust of Bhutan now Bhutan National Bank and the Bhutan Development Finance Corporation ref name Review Citation publisher Kogan Page title Asia & Pacific Review 2003 04 The Economic and Business Report url http books.google.de books?id RGsEvg7NdoQC&pg PA31&lpg PA31&dq royal securitiesexchange bhutan&source bl&ots yHD1SN53DM&sig eLdfIIa2v2hiey7B9Z3cHSR t1E&hl de&ei dvBNTO iKYTaOKiJiZcD&sa X&oi book result&ct result&resnum 3&ved 0CB4Q6AEwAjgU v onepage&q royal 20securities 20exchange 20bhutan&f false accessdate 26 July 2010 ref . The Royal SecuritiesExchange of Bhutan ... BANKING AND SECURITIES.html Bhutan Banking and securities http www.kuenselonline.com modules.php ... Economy of Bhutan Category Bhutan stubs Category Stock exchange stubs Category Companies established ... more details
Infobox Company company name International SecuritiesExchange company logo Image ISE 4COLOR STCKD.png key people Gary Katz, CEO company type Exchange organized market Exchange foundation May 26, 2000 ... SecuritiesExchange Holdings, Inc. is a wholly owned subsidiary of German derivatives exchange ... ETFs based on ISE proprietary indexes. Since April 2007, the exchange also trades FX options, options based on foreign currency movements. These options are exchange listed securities that can ... national securities exchanges. Until SEC approval of the two exchange licenses is granted, Direct ... as a national securitiesexchange with the Securities and Exchange Commission May 26, 2000 Launched ... Nov 1 ai 79616977 International SecuritiesExchange Now the Third Largest U.S. Options Exchange Solid ... 10 2005 width 70 March 9, 2005 Became the first securitiesexchange to sell its shares in an initial ... exchange operator Deutsche B rse announced it will buy International SecuritiesExchange ISE.N ... securitiesexchange and will operate under the existing management team as an independent subsidiary ... SecuritiesExchange ... Krell and Gary Katz about their concept and the four founded what is today the International SecuritiesExchange, the world s largest equity options exchange to date. Launched as the first fully electronic US Option finance options exchange, ISE developed a unique market structure for advanced screen ... options data. ISE Stock Exchange launched in September 2006. In August 2008, ISE Stock Exchange ... Stock Exchange a wholly owned subsidiary of Direct Edge and will give ISE an ownership stake in Direct ... Edge to Gain U.S. Share Wall Street Journal ref ISE Options Exchange The ISE Options Exchange lists ... and institutional investors. ISE Stock Exchange Partnership with Direct Edge The ISE Stock Exchange ... on one platform MidPoint Match and Displayed Market . MidPoint Match is an exchange based, non displayed ... more details
Infobox Exchange name Lao SecuritiesExchange logo image type Stock exchange city Vientiane country Laos foundation 11 January 2011 owner key people Dethphouvang Moularat small Chairman small currency Lao Kip listings 2 mcap volume 2.14 billion kip 265,000 small First day small ref http af.reuters.com article energyOilNews idAFSGE70A03L20110111 ref indexes homepage www.lsx.com.la The Lao SecuritiesExchange LSX is the primary stock exchange in Laos , located in the capital, Vientiane . History In 2010, the Lao government sought technical and financial support from South Korea Korea Exchange has a 49 percent stake in the LSX , as well as advice from neighbouring Thailand, to help build the exchange. ref http www.google.com hostednews afp article ALeqM5jYZhx5jMDA5gYkdUCn69YXXzqbbA?docId CNG.a04563e50d3f1a734525adeeae758a51.6a1 ref The glass building costed 10 million dollars to build. ref http online.wsj.com article SB10001424052748703779704576073373584050818.html?mod googlenews wsj ref It began operations on 11 January 2011. ref http www.ft.com cms s 0 2d309312 1cb3 11e0 a106 00144feab49a.html axzz1AeDFzLkb ref Companies There are currently only two listed companies on the stock exchange, but there is expectation that 3 to 5 firms will be listed by the end of 2011. The first is EDL Generation Public Company, which is a subsidiary of the state owned energy company, Electricite du Laos. The other company is the largest bank in Laos, Banque Pour Le Commerce Exterieur Lao BCEL Lao. ref http blogs.ft.com beyond brics 2011 01 11 lao stocks soar on debut yes both of them ref Reference Reflist stock market Category Economy of Laos Category Stock exchanges in Asia Category Companies established in 2011 es Bolsa de Laos zh Laos stub ... more details
Infobox Government agency agency name Securities and Exchange Commission Poland nativename logo logo width logo caption seal seal width seal caption formed preceding1 dissolved September 2006 superseding Absorbed into the Polish Financial Supervision Authority jurisdiction headquarters flagicon Poland Warsaw , Poland employees chief1 name chief1 position website http www.kpwig.gov.pl footnotes The Polish Securities and Exchange Commission , lang pl Komisja Papier w Warto ciowych i Gie d , KPWiG was the agency responsible for supervising compliance with regulations governing honest trade and competition until 2006 when it was absorbed into the Polish Financial Supervision Authority . The KPWiG was also responsible for ensuring universal access to reliable information about security papers and other exchange commodities on the market. The KPWiG also co operates with government administrative organs, the Narodowy Bank Polski NBP and institutions and participants in public trading on the stock market in the area of shaping the state s economic policy. The KPWiG also continuously monitors the functioning of all investment funds. From the start of its existence it has been head by Jacek Socha . On 19 September 2006 the institution was included in the newly established Polish Financial Supervision Authority lang pl Komisja Nadzoru Finansowego See also Warsaw Stock Exchange External links http www.kpwig.gov.pl Polish Securities and Exchange Commission Poland stub stockexchange stub Category Government of Poland Category Economy of Poland Category Government agencies established in 1991 pl Komisja Papier w Warto ciowych i Gie d ... more details
Infobox Company company name Uganda SecuritiesExchange company logo Image UGANDA SECURITIESEXCHANGE LOGO.png company type Stock Exchange company slogan Building your investment portfolio foundation June ... Executive Officer ref http newvision.co.ug D 8 220 737090 Key People At Uganda SecuritiesExchange ref ... The Uganda SecuritiesExchange USE is the principal stock exchange of Uganda . It was founded ... ref In 2010 the Uganda SecuritiesExchange was the best performing stock exchange in Sub Saharan Africa ... Uganda SecuritiesExchange website http www.africansea.org asea African Securities Exchanges ... Capital Markets Authority , which in turn reports to the Bank of Uganda , Uganda s central bank . The exchange s doors opened to trading in January 1998. At the time, the exchange had just one listing ... started the trading of fixed income instruments. The exchange, which is open five days a week, is a member ... in close association with the Dar es Salaam Stock Exchange in Tanzania and the Nairobi Stock Exchange ... Place Five Days Weekly Effective March 2011 ref During the first quarter of 2010, the Exchange adopted ... are being considered for the exchange. ref http www.bloomberg.com news 2011 01 03 ugandan bourse ... 2010 12 29 ugandan exchange approves secondary listing by centum investment of kenya.html USE Approves ... Breweries and Kenya Airways are crosslisted at both the Nairobi Stock Exchange and the Dar es Salaam Stock Exchange s. Centum Investment Company Limited , Equity Bank Group and Jubilee Holdings are crosslisted on the Nairobi Stock Exchange . ref http www.monitor.co.ug Business 688322 1098478 3dh735 ... Media Group are crosslisted on the Nairobi Stock Exchange , the Dar es Salaam Stock Exchange and on the Rwanda Stock Exchange ref http newvision.co.ug D 8 220 685151 KCB Group to list on All Four ... company, listed on the Irish Stock Exchange and on the London Stock Exchange , plans to crosslist ... Nairobi Stock Exchange Dar es Salaam Stock Exchange Rwanda Over The Counter Exchange References ... more details
Infobox Government agency agency name Cyprus Securities and Exchange Commission nativename r logo logo width logo caption seal seal width seal caption formed start date 2001 preceding1 dissolved superseding jurisdiction Republic of Cyprus headquarters Nicosia , Cyprus employees 42 2009 ref cite web url http www.cysec.gov.cy Downloads English Annual 20Reports Annual Report EN 2009.pdf title Annual Report 09 page 26 publisher CySEC date December 31, 2009 ref budget minister1 name minister1 pfo minister2 name minister2 pfo chief1 name Georgios Charalambous chief1 position Chairman chief2 name chief2 position parent agency child1 agency keydocument1 website http cysec.gov.cy footnotes The Cyprus Securities and Exchange Commission lang gr better know as CySEC is the financial regulatory agency of the Republic of Cyprus. Since Cyprus became a member of the European Union in 2004, CySEC has become part of European MiFID regulation giving firms registered in Cyprus access to all European markets. This has led to a number of overseas firms registering in Cyprus to take advantage of this regulatory regime. Notably is the number of overseas Retail forex trading retail forex brokers have obtained registration from CySEC. History CySEC was launched in 2001 as part of section 5 of the Cyprus Securities and Exchange Commission Establishment and Responsibilities Law of 2001 as a public corporate body. Cyprus joining the of the EU and adopting the Euro in 2004 significantly changed the financial regulatory framework that CySEC policed for what had been previously been considered a tax haven . A number of changes to legislation were made in conjunction ... it in line with EU recommendations. Responsibilities The Cyprus Securities and Exchange Commission ... of the Cyprus Stock Exchange and the transactions carried out in the Stock Exchange, its listed ... of Finance and their service is a five year term. See also Securities Commission References reflist ... more details
The Bahamas International SecuritiesExchange BISX is a securitiesexchange in the Bahamas . It was founded in 1999 and is located in Nassau, Bahamas Nassau . Listed companies Retrieved February 2009. ref http www.bisxbahamas.com companies.php BISX, Companies ref style vertical align top class wikitable sortable Symbol Issuing company Sector Listed on FBB Fidelity Bank Bahamas Limited Banking 21 Aug 2000 BBL Benchmark Bahamas Limited Investment Company 11 May 2000 BPF Bahamas Property Fund Limited Property Management 11 May 2000 BWL Bahamas Waste Limited Waste Collection 21 Aug 2000 CAB Cable Bahamas Limited Telecommunications 11 May 2000 CBL Commonwealth Bank Limited Banking 11 May 2000 CIB FirstCaribbean International Bank Banking 03 Jul 2000 DHS Doctors Hospital Health System Limited Healthcare Provider 18 May 2000 FAM FAMGUARD Corporation Limited Insurance 11 May 2000 FCL Freeport Oil Holdings Company Limited Industrial 11 May 2000 FIN Finance Corporation of the Bahamas Banking 03 Jul 2000 CHL Colina Holdings Limited Insurance 11 May 2000 ICD ICD Utilities Limited Industrial 18 May 2000 JSJ JS Johnson & Company Limited Insurance 11 May 2000 FCC Freeport Concrete Company Limited Industrial Retail 14 May 2001 PRE Premier Commercial Real Estate Investment Company Limited Property Management 08 Sep 2003 BOB Bank of The Bahamas Limited Banking 25 Nov 2004 CWCB Consolidated Water Co. Ltd. Industrial 17 Jan 2006 AML Abaco Markets Ltd. Consumer Goods 11 May 2000 FCLB Freeport Oil Holdings Company Limited Class B Preference Shares Industrial 09 Jun 2008 FBB15 Fidelity Bank Bahamas Limited 2015 Banking Debt 01 Sep 2008 FBB17 Fidelity Bank Bahamas Limited 2017 Banking Debt 01 Sep 2008 FBB22 Fidelity Bank Bahamas Limited 2022 Banking Debt 01 Sep 2008 FBB13 Fidelity Bank Bahamas Limited 2013 Banking Debt 01 Sep 2008 See also Economy of the Bahamas List of stock exchanges References reflist External links http www.bisxbahamas.com Bahamas International SecuritiesExchange Bahamas ... more details
Exchange PEX , was formely known as Palestine SecuritiesExchange PSE . The Exchange, was known as the Nablus stock exchange, collapsed from a daily turnover of 12 million in 2005 to about 6 million ... Economy of the Palestinian territories de Palestine SecuritiesExchange id Daftar bursa saham sv Lista ...Infobox Exchange name Palestine Exchange logo File pexlogo.png 200px founded 1995 type Stock Exchange founder city Nablus country Palestinian Authority key people Mr. Ahmad Aweidah CEO ref http www.pex.ps pex.ps ref currency USD , Jordanian Dinar JOD homepage http www.pex.ps Palestine Exchange PEX , in Nablus , was incorporated as a private shareholding company in early 1995, with the Palestine Development & Investment Company PADICO and SAMED , the economic institution of the PLO, as its major investors. After the Palestinian National Authority PNA approved a PADICO sponsored design and work plan in July 1995, a project team was put together by the PEX and entrusted to establish a fully electronic exchange and depository . EFA Software Services, a Canadian company, provided both the trading and settlement & clearing systems. By August 1996 the Exchange was fully operational, and on November 7 of that year the PEX signed an operating agreement with the PNA, allowing for the licensing and qualification of brokerage firms to take place. On February 18, 1997, the PEX conducted ... delays. Trading on the Exchange was volatile, as trading volume witnessed periods of extremely ... services. There are currently an estimated 40 Palestinian companies eligible to be listed on the Exchange ... had lost 50 of its value by 2007. ref name haaretz.com The Exchange launched an e trading portal ... company traded on the exchange, PADICO also owns the Palestinian phone monopoly Paltel. PADICO had ... exchanges List of stock market indices Stock exchange References reflist External links http www.pex.ps Palestine Exchange http www.menafn.com updates research center Palestine Equity val abinvest2006.pdf ... more details
Infobox Exchange name Abu Dhabi SecuritiesExchange nativename ADX logo image type Stock Exchange city Abu Dhabi country United Arab Emirates coor founded 2000 owner key people currency AED listings 67 mcap US 1.79 trillion small Dec 31, 2007 small volume US 980 billion small 2006 small indexes homepage http adx.ae English Pages default.aspx footnotes Abu Dhabi SecuritiesExchange ADX formerly Abu Dhabi Securities Market ADSM Arabic is a stock exchange in Abu Dhabi , United Arab Emirates UAE . It was established on 15 November 2000 to trade shares of UAE companies. There are trading locations in Abu Dhabi, Al Ain, Fujeirah, Sharjah, and Ras Al Khaimah. The Dubai Financial Market DFM is a different exchange that trades shares of other public UAE companies but investors can also trade ADSM shares with some of the brokers based at DFM. The ADSM has more companies listed than DFM but trading volume is usually much less. During 2004 2005 there was a substantial increase in share prices and trading activity. From the end of 2005 through until mid 2006 there was a significant downturn with the overall ADSM index dropping just over 30 in the first six months of 2006. listed companies by sector List provided by Emirates Securities & Commodities Authority SCA , including 67 companies in 4 sectors, whereas Abu Dhabi SecuritiesExchange provides more sectors. Banking Sector ADCB ADCB Abu Dhabi Commercial Bank ref http www.adcb.com ref ADIB Abu Dhabi Islamic Bank ref http www.adib.ae ref ARABBANK Arab Bank Arab Bank Jordan ref http www.arabbank.com.jo ref BOS Bank of Sharjah ref http www.bankofsharjah.com ref CBI Commercial Bank International ref http www.cbiuae.com ... Market Dubai International Financial Exchange External links http www.adx.ae ADX Abu Dhabi SecuritiesExchange homepage http www.sca.ae english index.asp SCA Securities and Commodities Authority ... colwidth 20em Category Companies listed on the Abu Dhabi Securities Market Category Stock exchanges ... more details
Unreferenced date December 2009 Members of the U.S. Securities and Exchange Commission are appointed by the President of the United States See Category Members of the United States Securities and Exchange Commission for alphabetized list of members who have articles written about them and who have the appropriate category marker on their page. Roosevelt Under Franklin Delano Roosevelt Franklin D. Roosevelt Joseph P. Kennedy, Sr. 1934 35 Chair 1934 35 George C. Mathews 1934 40 James M. Landis 1934 37 Chair 1935 37 Robert E. Healy 1934 46 Ferdinand Pecora 1934 35 J.D. Ross 1935 37 William O. Douglas 1936 39 Chair 1937 39 Jerome Frank lawyer Jerome Frank 1937 41 Chair 1939 41 John W. Hanes 1938 Edward C. Eicher 1938 42 Chair 1941 42 Leon Henderson 1939 41 Sumner T. Pike 1940 46 Ganson Purcell 1941 46 Chair 1942 46 Edmund Burke, Jr. 1941 43 Robert H. O Brien 1942 44 Robert K. McConnaughey 1943 49 James J. Caffrey 1945 47 Chair 1946 47 Truman Under Harry S. Truman Richard B. McEntire 1946 53 Edmond M. Hanrahan 1946 49 Chair 1948 49 Harry A. McDonald 1947 52 Chair 1949 52 Paul R. Rowen 1948 55 Donald C. Cook 1949 53 Chair 1952 53 Edward T. McCormick 1949 51 Robert I. Millonzi 1951 52 Clarence H. Adams 1952 56 J. Howard Rossbach 1952 53 Eisenhower Under Dwight D. Eisenhower Ralph H. Demmler 1953 55 Chair 1953 55 J. Sinclair Armstrong 1953 57 Chair 1955 57 A.J. Goodwin, Jr. 1953 55 Andrew Downey Orrick 1955 60 Harold C. Patterson 1955 60 Earl F. Hastings 1956 61 James C. Sargent 1956 60 Edward N. Gadsby 1957 61 Chair 1957 61 Byron D. Woodside 1960 67 Daniel J. McCauley 1960 61 Kennedy Under John F. Kennedy J. Allen Frear, Jr. 1961 63 William L. Cary 1961 64 Chair 1961 64 Manuel F. Cohen 1961 69 Chair 1964 69 Jack M. Whitney II 1961 64 Johnson Under Lyndon B. Johnson Hugh F. Owens ... L. Schapiro 2009 present Chair 2009 DEFAULTSORT Securities And Exchange Commission Appointees Category United States Securities and Exchange Commission Appointees id Pejabat Securities and Exchange Commission ... more details
The Securities Investor Protection Act of 1970 codified at usc 15 78aaa through usc 15 78lll , established the Securities Investor Protection Corporation SIPC . Most brokers and dealers registered under the SecuritiesExchangeAct of 1934 are required to be members of the SIPC. The SIPC maintains a fund that is intended to protect investors against the misappropriation of their funds and of most types of securities in the event of the failure of their broker. Category 1970 in law Category United States federal securities legislation US fed statute stub ... more details
a 2 of the Act. Additional liability may be imposed under the SecuritiesExchangeAct of 1934 Rule 10b 5 . See also Securities regulation in the United States SecuritiesExchangeAct of 1934 References ...Congress enacted the SecuritiesAct of 1933 the 1933 Act, the SecuritiesAct , the Truth in SecuritiesAct, the Federal SecuritiesAct, or the 33 Act, USStat 48 74 , enacted 1933 05 27, codified at usc ... offer or sale of securities using the means and instrumentalities of interstate commerce be registered pursuant to the 1933 Act, unless an exemption from registration exists under the law. The 1933 Act was the first major federal legislation to regulate the offer and sale of securities. Prior to the Act, regulation of securities was chiefly governed by state laws, commonly referred to as blue sky law s. When Congress enacted the 1933 Act, it left in place a patchwork of existing state securities ... of whether securities must be registered, the 1933 Act makes it illegal to commit fraud in conjunction ... Securities and Exchange Commission. Rule 144 Selling Restricted and Control Securities. October ... Act of 1933 for certain private resales of restricted securities to qualified institutional buyers ... primarily as protection for United States investor s. As such, the U.S. Securities and Exchange ... coauthors George E. Bates Bates, George E. year 1933 month title The Federal SecuritiesAct of 1933 ... Introduction to the Federal Securities Laws http www.law.uc.edu CCL xyz sldtoc.html Full text of this Act ... Securities and Exchange Commission Category United States federal financial legislation Category ... of federal legislation. Part of the New Deal , the Act was drafted by Benjamin Victor Cohen Benjamin ... Unless they qualify for an exemption, securities offered or sold to the public in the U.S. must ... , which is the document through which an issuer s securities are marketed to a potential investor, is generally ... on which an issuer s securities must be registered. Among other things, registration forms call ... more details
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