- Go to the U.S. Securities and Exchange Commission’s Website located at http://www.sec.gov/about/whatwedo.shtml. Review the mission and history of the SEC, listed under “Introduction”. Be prepared to discuss.
From the e-Activity, examine the mission and history of the SEC. Determine whether the regulatory bodies of the securities market have established key strategies for a successful outcome for the average investor since their creation. Support your decision.
- Select one specific regulation of the securities market, and propose three ways that you believe that regulation can be improved. Please elaborate with details
- Justify why a small investor would prefer a stock exchange market such as the New York Stock Exchange (NYSE), as compared to the National Association of Securities Dealers Automated Quotations (NASDAQ). Provide support for your justification.
- Take a position on the benefits and risks of a balanced fund versus a fixed index fund, indicating if a financial manager is most likely to invest in a balanced fund or a fixed index fund. Support your answer.
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