Question.2561 - 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 x or xxxxxx 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 coverage xxxxxxx people xxx up xx a xxxxx of xx cash xxx securities xxx account xxxx protections xxxx include xx to xx cash xxxxxxxx The xxxxx amount xx coverage xx SIPC xxxxxxxxx only xxxxx into xxxx when xxx SIPC xxxx intervene xxxx happens xxxx it xxxxxxxx a xxxxxxxx from xxxxxxxxxx agencies xxxx as xxx Securities xxx Exchange xxxxxxxxxx SEC xx the xxxxxxxxx Industry xxxxxxxxxx Agency xxxxx If x broker-dealer xxxxx and xxxxxxxxx have xxxx securities xxx or xxxx the xxxxxxxxxxx process xxxx begin xxxx insurance xx an xxxxxxxxx safeguard xx have xx place xx investors xxx rest xxxx knowing xxxxx money xxxx be xxxx if xxxxx broker xxxxx Certified xxxxxx Accountant xxx CPA xxxxxxxxxxx distinguishes xxxxxxxx accounting xxxxxxxxxxxxx committed xx protecting xxx public xxxxxxxx These xxxxxxxxxxxxx offer xxxxxxxxx statement xxxxxx and xxxxx attestation xxxxxxxx to xxxx inform xxxxxxxxx about xxx financial xxxxxx of xxxxxxxxxxxxx They xxxxxxx individuals xxx families xxxx valuable xxxxxxxxx and xxxxxx on xxxxx and xxxxxxxxx planning xx business xxx industry xxxx offer xxxxxxxxxxxxx around xxx world xxx financial xxxxxxxxx and xxxxxxxx servicesChartered xxxxxxxxx Analyst xxx is x financial xxxxxxx or xxxxxxx who xxx been xxxxxxxxx by xxx CFA xxxxxxxxx with xxx professional xxxxxxxxxxx Chartered xxxxxxxxx Analyst xxxxxxxxx Financial xxxxxxxx are xxxxxxxxxxx for xxxxxxxxxxx good xxxxxxxxxxx for xxxxx company xx clients xx make xx well xx identifying xxx investments xxx their xxxxxxx or xxxxxxx to xxxxx Chartered xxxxxxxxx Analysts xxxxxxx data xxxxxxx analyses xxxxxxxx returns xxx risks xx different xxxxxxxxxxx create xxxxxxxxx models xxx forecasts xxxxx reports xxx sometimes xxxx presentations xx executives xxxx typically xxxx at xxxxx investment xxxxx securities xxxxx brokerages xxxxxxxxx companies xx multinational xxxxxxxxxxxx and xxxxxx financial xxxxxxxxxxx and xxxxxxxxxxx such xx securities xxxxx funds xxxxxx companies xxxxxxxxx Financial xxxxxxx Analyse xxxxxxx 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 xxxxxxxx needs xxxx clients xxxxxxxxx their xxxxx and xxxxx out xxxxxxxxxxxx Present xxx sell xxxxxxxx financial xxxxxxxx and xxxxxxxx Maintain xxxxxxx knowledge xx regulations xxxxxxxxx and xxxxxxxxx products xxx Certified xxxxxxxxxx Management xxxxxxx CIMA xx a xxxxxxxxxxxxx for xxxxxxxxx consultants xxx investment xxxxxxxx It xx issued xx an xxxxxxxxxxxx called xxx Investments xxx Wealth xxxxxxxxx A xxxxxxxxxxxxxxx advisor xxxxxxxxx will xxxxx on xxxxxxxxxx consulting xxxxxx a xxxxxxxxx advisor x certified xxxxxxxxxx management xxxxxxx typically xxx 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
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