Question.2399 - Assessment Traits Requires Lopeswrite Assessment Description The purpose of this assignment is to describe the history and purpose of the SEC and various securities acts as well as a comparison of the role of credentialed professionals during the investment process. Write a paper (750-1,000 words) demonstrating an overview of the history and purpose of regulatory agencies and acts. The paper should contain the following: 1. Provide an overview of the history and purpose of the SEC, including a summary of the objectives 2. Describe the history and purpose of the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Advisors Act of 1940. 3. Provide an overview of the history and purpose of the Securities Investor Protection Corporation (SIPC). 4. Utilizing the topic Resources, compare the possible roles of the following credentialed professionals in the investment process: Certified Public Accountant (CPA), Chartered Financial Analyst (CFA), Certified Financial Planner (CFP), and Certified Investment Management Analyst (CIMA ). Include at least five different sources (e.g., government websites, reliable original material, academic articles, etc.). Wikipedia, Investopedia, and other nonreliable sources may not be used. Prepare this assignment according to the guidelines found in the APA Style Guide, located in the Student Success Center. This assignment uses a rubric. Please review the rubric prior to beginning the assignment to become familiar with the expectations for successful completion. You are required to submit this assignment to LopesWrite. A link to the LopesWrite technical support articles is located in Class Resources if you need assistance.
Answer Below:
History xxx purpose xx the xxx The xxxxxxxxxx Exchange xxxxxxxxxx -SEC xxx Formed xxxxxxxxxx on xx October xx the xxxxxxxxxx Act xxx operations xxxxx on xx November xxxxx the xxxxxxxxxx of xxxxxxx Nepomuceno xx safeguard xxx public xxxxxxxx from xxxxxxxxxxx in xxxxxxxxxx major xxxxxxxxx are xxxxxxxxxxxx of xxxxxxxxxx analysis xx every xxxxxxxxxx security xxxxxxxxxx of xxx financial xxxxxxxxx operations xx applicants xxx security xxxxxx screening xx applications xxx broker xxxxx s xx dealer xxxxx s xxxxxxx supervision xx stock xxx bond xxxxxxx as xxxx as xxx stock xxxxxxxxx In xxx Commission xxx expanded xx include xxx additional xxxxxxxxxxxxx and xxx departments xxx for xxxxxxxxxxx and xxxxxxxxxxx and xxx other xxx supervision xxx monitoring xxxx on xxxxxxxx the xxx was xxxxxxxxxxx as xxxxxxxx by x A xxxx known xx the xxxxxxxxxx Regulation xxxx Primary xxxxxxxxxx of xxx are xx protect xxxxxxxxx maintain xxxx orderly xxx efficient xxxxxxx and xxxxxxxxxx capital xxxxxxxxx History xxx purpose xx the xxxxxxxxxx Act xx Securities xxxxxxxx Act xx and xxxxxxxxxx Advisors xxx of xxxxxxxxxx Act xx Securities xxxxxxxx Act xx were xxxxxxxxxxx in xxxxxxxx to xxxxxx Crash xx October xxxx was xxxxxx under xxx leadership xx then xxxxxxxxx Franklin xxxxxxxxx The xxxxxxxxxx Act xx is xxxxxxxx by xxx Securities xxx Exchange xxxxxxxxxx which xxx created x year xxxxx by xxx Securities xxxxxxxx Act xx Several xxxxxxxxxx to xxx act xxxx been xxxxxx to xxxxxx rules xxxxxxxx times xxxx the xxxxx with xxx latest xxxxxxx in xxx main xxxxxxx of xxxxx Acts xxx to xxxxxxxxxx of xxxxxxxxxxx by xxxxxxxxx that xxxxxx securities xxx to xxxxxx Investor xxx balanced xxx non- xxxxxxxxxx information xxx Securities xxx also xxxxxxxxxxx laws xxxxxxx misrepresentation xxx fraudulent xxxxxxxxxx in xxx securities xxxxxxx Investment xxxxxxxx Act xx was xxxxxx as xxxxx Market xxxxx in xxxxxxxxx felt xxxx proper xxxxxxxxxxx of xxxxx securities xxxxxxxx is xxxxxxxxx as xxxxxxxx also xxxxxxxxxxx clients xx placing xxxx quality xxxxxxxxxx to xxxxxxxx personal xxxxxxx and xxxxxxxxxx stocks xx client xxxxx main xxxxx is xx get xxx clients xxxx funds xx existing xxxx exhausted xxx there xxxx questionable xxxxxxxx techniques xxxx by xxxxx investors xx avoid xxx these xxxxxxxxx Advisors xxx of xxx formed xxx Purpose xx Investment xxxxxxxx Act xx was xx be xxxxx by x fiduciary xxxx to xxxxx clients xxxxxxx that xxxxxxxx must xxx the xxxxxxxxx of xxxxx clients xxxxx their xxx interests xxxxxx the xxxx possible xxxxxx in xxx buying xxx selling xx securities xx investment xxxxxxxxxx disclose xx their xxxxxxx all xxxxxxxx facts xxxxxxxx to xx investment xxxxxxxxx maintain xxx enforce xxxxxxx policies xxx procedures xxxxxxxxxx designed xx prevent xxx misuse xx material xxxxxxxxxx information xxxx by xxx investment xxxxxxx and xxxxxxxx with xxx SEC xxxxxx written xxxxxxxxx relating xx its xxxxxxxxx practices xx the xxx and xxxxxx to xxxxxxxx SEC xxxxxxxxxxxx Securities xxxxxxxx Protection xxxxxxxxxxx SIPC xx Securities xxxxxxxx Protection xxxxxxxxxxx SIPC xxx its xxxxxxx in xxx difficult xxxxx of x when xxx paperwork xxxxxx brought xx by xxxxxxxxxxxx high xxxxxxx volume xxx followed xx a xxxx severe xxxxxxx in xxxxx prices xxxxxxxx of xxxxxxxxxxxxxx were xxxxxx acquired xx simply xxxx out xx business xxxx were xxxxxx to xxxx their xxxxxxxxxxx to xxxxxxxxx and xxxx bankrupt xxxxxx confidence xx the x S xxxxxxxxxx markets xxx in xxxxxxxx Then xxx Securities xxxxxxxx Protection xxxxxxxxxxx SIPC xx a xxxxxxxxxx corporation xxxxxxx by xx act xx Congress xx to xxxxxxx the xxxxxxx of xxxxxxxxx firms xxxx are xxxxxx into xxxxxxxxxx It xxxxxxxx Limited xxxxxxxx to xxxxxxxxx on xxxxx brokerage xxxxxxxx if xxxxx brokerage xxxx became xxxxxxxxx SIPC xxxxxxx include xxx brokers xxx dealers xxxxxxxxxx under xxx Securities xxxxxxxx Act xx all xxxxxxx of xxxxxxxxxx exchanges xxx most xxxx members xxxx SIPC xxxxxxxx insures xxxxxx for xx to x limit xx in xxxx and xxxxxxxxxx per xxxxxxx SIPC xxxxxxxxxxx also xxxxxxx up xx in xxxx coverage xxx total xxxxxx of xxxxxxxx is xxxx insurance xxxx comes xxxx play xxxx the xxxx must xxxxxxxxx This xxxxxxx when xx receives x referral xxxx regulatory xxxxxxxx such xx the xxxxxxxxxx and xxxxxxxx Commission xxx or xxx Financial xxxxxxxx Regulatory xxxxxx FINRA xx a xxxxxxxxxxxxx fails xxx customers xxxx lost xxxxxxxxxx and xx cash xxx liquidation xxxxxxx will xxxxx SIPC xxxxxxxxx is xx important xxxxxxxxx to xxxx in xxxxx so xxxxxxxxx can xxxx easy xxxxxxx their xxxxx will xx safe xx their xxxxxx fails xxxxxxxxx Public xxxxxxxxxx The xxx designation xxxxxxxxxxxxx licensed xxxxxxxxxx professionals xxxxxxxxx to xxxxxxxxxx the xxxxxx interest xxxxx professionals xxxxx financial xxxxxxxxx audits xxx other xxxxxxxxxxx services xx help xxxxxx investors xxxxx the xxxxxxxxx health xx organizations xxxx provide xxxxxxxxxxx and xxxxxxxx with xxxxxxxx knowledge xxx advice xx taxes xxx financial xxxxxxxx In xxxxxxxx and xxxxxxxx CPAs xxxxx organizations xxxxxx the xxxxx tax xxxxxxxxx reporting xxx advisory xxxxxxxxxxxxxxxxx Financial xxxxxxx CFA xx a xxxxxxxxx manager xx analyst xxx has xxxx certified xx the xxx Institute xxxx the xxxxxxxxxxxx designation xxxxxxxxx Financial xxxxxxx Chartered xxxxxxxxx Analysts xxx responsible xxx identifying xxxx investments xxx their xxxxxxx or xxxxxxx to xxxx as xxxx as xxxxxxxxxxx bad xxxxxxxxxxx for xxxxx company xx clients xx avoid xxxxxxxxx Financial xxxxxxxx collect xxxx perform xxxxxxxx evaluate xxxxxxx and xxxxx on xxxxxxxxx investments xxxxxx financial xxxxxx and xxxxxxxxx write xxxxxxx and xxxxxxxxx make xxxxxxxxxxxxx to xxxxxxxxxx They xxxxxxxxx work xx banks xxxxxxxxxx banks xxxxxxxxxx firms xxxxxxxxxx insurance xxxxxxxxx or xxxxxxxxxxxxx corporations xxx manage xxxxxxxxx instruments xxx investments xxxx as xxxxxxxxxx bonds xxxxx stocks xxxxxxxxx Certified xxxxxxxxx Planner xxxxxxx clients xxxxx financial xxxxxxxx e x income xxxxxxxx and xxxxxxxxxxx Examine xxx suggest xxxxxxxxx opportunities x g xxxxxxxxx plans xxxxxxxxxxx Develop xxxxx plans xxx budgets xxx clients xxxxxxxxx financial xxxxx according xx clients xxxxx changing xxxxx Help xxxxxxx implement xxxxx plans xxx carry xxx transactions xxxxxxx and xxxx suitable xxxxxxxxx products xxx services xxxxxxxx updated xxxxxxxxx of xxxxxxxxxxx practices xxx financial xxxxxxxx The xxxxxxxxx Investment xxxxxxxxxx Analyst xxxx is x certification xxx financial xxxxxxxxxxx and xxxxxxxxxx advisors xx is xxxxxx by xx organization xxxxxx the xxxxxxxxxxx and xxxxxx Institute x CIMA-accredited xxxxxxx generally xxxx focus xx investment xxxxxxxxxx Unlike x financial xxxxxxx a xxxxxxxxx investment xxxxxxxxxx analyst xxxxxxxxx won xxxxx t xxxxxxx on xxxxxx or xxxxx aspects xx financial xxxxxxxxxx Instead xxxx build xxxxx practice xxxxxx Investment xxxx Assessment xxx Portfolio xxxxxxxxxx A xxxx must xxxx an xxxxxxxxx not xxxx in xxxxxxx but xxxx in xxxxxxxx strategy xxxxxxxxxx and xxxxxxxxxx This xxxxx them xxxx suited xxx assessing xxxx and xxxxxx decisions xx the xxxxx of xxxxxx corporations xx funds xx a xxxxxx they xxx better xxxxxx for xxxxxxxx commensurately xxxxxxx clientsMore Articles From Finance
.ico)
.ico)
.ico)
.ico)
