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EXPLORING 21st CENTURY SKILLS and ISSUES
Tell about the five SEC Divisions. (Click Divisions on the menu bar to answer questions 4-8) 4. What does the Division of Corporation Finance do? _ ______________________________________________________________________________ _ ______________________________________________________________________________ _ ______________________________________________________________________________ 5. What does the Division of Enforcement do? _ ______________________________________________________________________________ _ ______________________________________________________________________________ _ ______________________________________________________________________________ 6. What does the Division of Economic Risk and Analysis do? _ ______________________________________________________________________________ _ ______________________________________________________________________________ _ ______________________________________________________________________________ 7. What does the Division of Trading and Markets do? _ ______________________________________________________________________________ _ ______________________________________________________________________________ _ ______________________________________________________________________________ 8. What does the Division of Investment Managemen t do? _ ______________________________________________________________________________ _ ______________________________________________________________________________ _ ______________________________________________________________________________ 9. What are common violations that may lead to an SEC investigation? (Select Enforcement , then How Investigations Work .) _ ______________________________________________________________________________ _ ______________________________________________________________________________ _ ______________________________________________________________________________ _ ______________________________________________________________________________ _ ______________________________________________________________________________ _ ______________________________________________________________________________ Conducts investigations into possible violations of the securities laws, and prosecutes lawsuits in federal courts and administrative proceedings. Integrates financial economics and rigorous data analytics into the core mission; involved across the entire range of SEC activities, including policy-making, rulemaking, enforcement, and examination . Regulates investment companies, variable insurance products, and federally registered investment advisers. Establishes and maintains standards for fair, orderly, and efficient markets. Also regulates broker-dealers, transfer agents, and self regulatory organizations. - Misrepresentation or omission of important information about securities - Manipulating the market prices of securities - Stealing customers' funds or securities - Violating broker-dealers' responsibility to treat customers fairly - Insider trading - Selling unregistered securities. Ensures investors are provided with material (important or significant) information to make informed investment decisions, during an IPO and on an ongoing basis. PRODUCT PREVIEW
273 THE 21st CENTURY STUDENT’S GUIDE TO FINANCIAL LITERACY
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