UNITED STATES OF AMERICA Before the SECURITIES AND …

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 92553 / August 3, 2021 INVESTMENT ADVISERS ACT OF 1940 Release No. 5815 / August 3, 2021 ADMINISTRATIVE …

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Did registered broker-dealer clients violate Section 17(a) & 17(E) of the Exchange Act?

Certain registered broker-dealer clients of Respondents violated Sections 17(a) and 17(e) of the Exchange Act and Rule 17a-5 when they filed annual financial statements with the Commission that had not been audited by Respondents in accordance with PCAOB standards. ...

Do broker-dealers have to file annual financial statements?

Broker-dealers are required to file annual financial statements with the Securities and Exchange Commission (SEC) under Sections 17(a) and 17(e) of the Exchange Act and Rule 17a-5 thereunder. The statements must be audited by an independent public accountant in accordance with PCAOB standards. ...

When did the stock market become national predominance?

It is only before 1800 that the number of quoted stocks thins to a handful. Another key point of difference: the New York Stock Exchange did not achieve national predominance until after the 1840s. ...

When did the New York Stock Exchange become a national stock market?

Another key point of difference: the New York Stock Exchange did not achieve national predominance until after the 1840s. To obtain reasonable coverage of total market capitalization, a stock market index for this period must include stocks traded in Boston, Philadelphia, and Baltimore. ...

What was the capitalization of the financial services sector before 1830?

The collective capitalization of the financial services sector vastly exceeded the handful of transportation and manufacturing stocks that traded before 1830. In 1830, railroad stocks began to be traded in New York and soon came to dominate trading volume. Even a small railroad would have capitalization the size of a large bank. ...

What was the stock market like before the Civil War?

It is the final in a three-part series (Part I, Part II). When we go back in time before the Civil War, the stock market appears very different from today. There was exchange trading, but there was no specialist at a post, nor was trading continuous. Rather, auctions were held twice a day. The names of listed stocks were called in turn. ...