Many people ask themselves the question:
“Which SEC would most likely penalize?” The answer is the bank. The SEC is responsible for any violations committed, including those related to banks. For example, if a bank has violated a regulation that prohibits them from investing in certain companies because they are too risky and instead invested in these companies anyway – then this violation will be punished by the SEC.
SEC has the responsibility to promote and disclose information relating to the market in order to establish fair dealing along with protection against fraud. It is with the steady flow of information that investors can decide the plan of action and make profitable investment decisions.
SEC works continuously in coordination with the key participants to ensure the information flow is efficient and active. Transparency in the capital market leads to better capital formation in the economy.
Background of SEC
The Securities and Exchange Commission (SEC) is an independent agency of the United States federal government. The primary responsibility of the SEC is to enforce federal securities laws, proposing securities rules, regulate the securities industry, stock exchange, options exchange, and other related activities and organizations.
As more and more individuals are turning towards the securities market with a hope to secure their futures, the need for effective regulation for a healthy market becomes all the more essential.
With the US economy with its expanding pace, the SEC should eye at capital formation in the marketplace to boost job employment, the standard of living, protection of savings and investments.
The SEC has the responsibility to penalize for any violations that have been committed – most especially those related to banks. For example, if a bank has violated a regulation that prohibits them from investing in certain companies because they are too risky and instead invested in these companies anyway – then this violation will be punished by the SEC.
Which would be the most likely penalty for the Sec?
The correct answer for this question is this one: “Bank.” The SEC that is most likely to penalize for violating a regulation is the bank. The SEC has the responsibility to penalize for any violations that have been committed – most especially those related to banks.
Which would the CEC most likely sanction for violating a regulation or violation?
The FCC will most likely punish radio or TV broadcasts that violate a regulation. Since the Federal Communications Commission (FCC), prohibits any content including obscenity and indecency as well as profanity,
Which executive department would most likely need approval?
Which executive department would be most likely to approve a new pipeline for an oil company? The Department of Transportation.
Which agency would regulate most likely?
Most likely, the Federal Communication Commission (FCC), would regulate satellites used worldwide for communication.
Which Would the Sec Most Likely Penalize? Related Questions
What are some examples of NASA and CIA?
Examples of executive agencies are the Central Intelligence Agency and National Aeronautical and Space Administration. In addition to departments and agencies, the federal government also has government corporations that can be used as businesses to produce products or services.
Which executive department deals with foreign countries the most?
The Department of State, the executive department that deals with foreign countries most frequently, is the Department of State. The U.S. Department of State is responsible for leading the country’s foreign policy and advising and assisting the President on all matters related to it.
Which is the best description of the impact of independent agencies upon the executive branch
Which is the best description of the impact of independent agencies upon the executive branch They enable the executive branch to create many rules and regulations. They enable the executive branch to oversee both the legislative and judicial branches.
Which description is the most accurate of the Executive Office President?
Answer: “Groups of advisers who help the president” is the most accurate description of the executive office of the president.
Which agency would most likely regulate satellites?
The Federal Communications Commission is responsible for regulating satellite communications. It is an official federal agency of the United States, created on the basis of the Communications Act of 1934.
What power does the President of the United States have?
The President has the power to sign the legislation into effect or to veto it. However, Congress can override a veto by a two-thirds vote of both Houses.
Which statement about the executive agency is most accurate?
Independent executive agencies have a narrow focus is the correct answer. The most accurate statement about the independent executive agency is “independent executive agents have a narrow focus.” Independent executive agencies are self-governing, but they still depend on the executive branch.
This shows the president’s involvement with civic life.
Answer: Throwing the first pitch in a baseball game is an example of a president’s involvement with civic life.
Why does the Executive Office for the President include communications and press staff?
Because the President uses the mass media for support, the press and communication staff are part of his office. For the flow of the President’s inaugurals, press conferences, and press conferences, the press and communication staff are essential.
Does NASA collaborate with the CIA?
NASA was able to access NASA’s expertise in a wider range of aerospace fields when the CIA and NASA partnered in 1965 to create eight joint CIA/NASA advisory panels (Document 8)
What regulates NASA?
NASA stands for National Aeronautics and Space Administration. NASA is a U.S. government agency. It is responsible for science, technology, and air-space relations. The 1957 launch of Sputnik, the Soviet satellite, began the Space Age.
How many government jobs were filled before the 1880s.
What was the most common way government jobs were filled before 1880? Most jobs were filled by the spoils program-president gives government jobs for friends, supporters, etc. President Garfield was shot and killed by a man who believed that he deserved a job because of his efforts to get him elected.
Who is in the executive branch of government?
The executive branch consists of the president, vice-president, and Cabinet members.
What can she do to hold these departments accountable?
What can he/she do to hold these departments accountable? He can ask each of the departments to provide a complete report. What are the chief presidential advisors and the heads of executive departments?
This is what explains the differences between regulatory agencies.
This explains how regulatory agencies are compared to cabinet agencies like the Departments of Commerce or the Treasury. Cabinet agencies promote economic growth and business by setting rules for businesses.
Which power of the president is enumerated?
The Constitution gives the president explicit power to sign or veto legislation and command the armed forces. He can also ask for the written opinion from their Cabinet, convene Congress or adjourn it, grant reprieves or pardons, and even receive ambassadors.
Which of these best explains why public health is such an important duty?
This is why public health is an important responsibility of the state government. States that prevent disease outbreaks and protect public health are better able to ensure their citizens’ safety. The voter registration process for national, state and local elections is overseen by the state governments.
Quizlet: Which duty is associated with both independent executive agencies and regulatory agencies?
BOTH regulatory agencies AND independent executive agencies monitor the actions of corporations. They are usually established by Congress to perform the task, which is usually supported by federal laws in the United States.
Which task falls under the President’s responsibility as Commander in Chief?
The Constitution designates the President as Commander In Chief of the Army and Navy. He is the supreme military commander and is responsible for protecting and defending the United States. The phrase “Army and Navy” is used in the Constitution as a means of describing all the armed forces of the United States.
Which of the following actions could be taken by a regulatory body?
A regulatory agency might take action to set standards for the stock market and enforce them.
Which agency would most likely supervise satellites used for worldwide communication by the FCC NASA?
Which agency would most likely regulate satellites used worldwide for communication? The Department of Justice.