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Undang-undang ________ tahun 2002 bertujuan untuk meningkatkan standar audit dan meningkatkan akuntabilitas di antara perusahaan publik.
sarbanes-oxley
Reformasi Dodd-Frank Wall Street dan Tindakan Perlindungan Konsumen memperkenalkan perubahan signifikan dalam regulasi setelah krisis keuangan pada tahun ________.
2008
Dengan bantuan teknologi seperti sistem ________, SEC terus beradaptasi dan berkembang untuk memenuhi mandatnya melindungi investor Amerika.
EDGAR
Salah satu tantangan yang dihadapi SEC adalah ancaman ________, aktivitas penipuan, dan isu globalisasi yang mempengaruhi pasar di seluruh dunia.
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Meskipun upayanya, SEC menghadapi tantangan yang berkelanjutan seperti ancaman ________, aktivitas penipuan, dan isu globalisasi yang mempengaruhi pasar di seluruh dunia.
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Komisi Sekuritas dan ______ adalah sebuah agensi federal pemerintah Amerika Serikat yang dibuat oleh Kongres melalui undang-undang yang dikenal sebagai Undang-Undang Sekuritas.
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Tujuan utamanya adalah melindungi investor dari praktik ______ sambil memberikan kesempatan pembentukan modal bagi bisnis.
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Komisi Sekuritas dan Bursa (SEC) mengatur bursa sekuritas; mendaftarkan pialang, dealer, bank investasi, dan penasihat; memantau kepatuhan dengan hukum sekuritas federal; mempromosikan transparansi dan keadilan di pasar keuangan; dan melindungi terhadap ______.
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Untuk melaksanakan tugas-tugas ini secara efektif, SEC sangat mengandalkan ______, keakraban dengan kondisi pasar, dan tindakan penegakan hukum.
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Undang-undang yang beroperasi di bawah SEC adalah Undang-Undang Sekuritas tahun 1933 dan Undang-Undang ______ tahun 1934.
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SEC telah mendirikan sistem Electronic Data Gathering Analysis and Retrieval (EDGAR), yang memungkinkan perusahaan untuk mengajukan laporan mereka secara elektronik daripada mengirimkannya melalui salinan ______.
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Study Notes
Securities and Exchange Commission
The Securities and Exchange Commission (SEC) is a federal agency of the United States government created by Congress through legislation known as the Securities Acts, which were signed into law by President Franklin D. Roosevelt during the Great Depression. Its primary goal is to protect investors from fraudulent practices while providing capital formation opportunities for businesses.
Key responsibilities and functions of the SEC include regulating securities exchanges; registering brokers, dealers, investment banks, and advisors; monitoring compliance with federal securities laws; promoting transparency and fairness in financial markets; and protecting against insider trading. To carry out these duties effectively, the SEC relies heavily on disclosure, familiarity with market conditions, and enforcement action.
In terms of operations, the SEC operates under two main laws—the Securities Act of 1933 and the Securities Exchange Act of 1934. These laws work together to create a comprehensive regulatory framework governing the offer and sale of securities within the U.S.. Additionally, the SEC has established the Electronic Data Gathering Analysis and Retrieval (EDGAR) system, which allows companies to file their reports electronically rather than submitting them via paper copies.
Historical milestones associated with the SEC include the Sarbanes-Oxley Act of 2002, which was enacted after numerous corporate accounting scandals emerged during the early 2000s. This legislation aims to improve auditing standards and increase accountability among public companies. Furthermore, the Dodd-Frank Wall Street Reform and Consumer Protection Act introduced significant changes in regulation following the financial crisis in 2008, addressing how large institutions manage risks and broadening oversight over derivatives markets.
Despite its efforts, the SEC faces ongoing challenges such as cybersecurity threats, fraudulent activities, and globalization issues affecting markets around the world. However, with the help of technology advancements like the EDGAR system and increased attention to data analysis, the SEC continues to adapt and evolve in order to fulfill its mandate to protect American investors.
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Description
Learn about the Securities and Exchange Commission (SEC), a federal agency in the U.S. responsible for protecting investors and ensuring fair financial markets. Explore its history, key functions, laws under its jurisdiction, and significant legislative acts affecting its operations.
