What is the Securities and Exchange Commission?

The Securities and Exchange Commission, also referred to as the SEC, was created back in 1934 by section 4 of the Securities Exchange Act of 1934. It was created to regulate the securities industry, protect investors from fraud, as well as to enforce federal securities laws. Some of the federal securities laws that are enforced by the SEC include: the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940 and the Sarbanes-Oxley Act of 2002.

The BAFE SP203 Standard for Fire Alarm Systems

An important change in legislation is set to introduced by the Chief Fire Officers Association (CFOA). A Unique Reference Number (URN) will be required by Fire Brigades before responding to a fire alarm. URNs can ONLY be issued for systems installed and serviced by a BAFE accredited company.

Sarbanes Oxley And Internal Audit

Companies listed in the NYSE had to get an internal audit department ready before 31 October making sure the new audit heads could evaluate the scope of their departments work, as well as how to comply with the new Sarbanes Oxley laws.

Business Wars in the Market Place; Online Gambling VS the Gaming Industry in the US

The war between online gambling and the US gaming industry is getting heavy, as the government is intervening now. Why? Simple, many states receive a lot of revenue from the gaming industry. States like Nevada, Alabama and New Jersey and without this tax revenue they will have severe budget issues.

Corporate Investment with All these Attacking Regulatory Agencies; Why Bother?

The government is saying re-invest in America. Pour capital into the free markets, but why? If they do who will work in the new factories and plants? Who will work in the new outlets? Who will man the machinery? Unemployment is at a very low number.

Aircraft Washing and Regulatory Issues

Perhaps you are a pilot or just love aircraft and you want to start a business washing, cleaning and detailing general aviation aircraft such as single engine, cabin class twins and private or corporate jet aircraft? There will be things that will be required of you by the local airport in order to get an activity permit, as well as some regulatory issues.

Sarbanes Oxley Compliance

The U.S. House of Representatives passed The Sarbanes-Oxley Act in 2002. It seeks to bring in better ethics and accountability in the operations of companies in the United States.

Change Management in Regulatory Agencies

Change Management in regulatory government agencies can be extremely serious indeed. For instance take the resigning of Minetta from the Department of Transportation or resignation Powell from the Federal Communications Commission and you can understand what I am getting at.

Lawyers Need More Rules and Regulations

I am of the opinion and many who study the legal industry or know from first hand knowledge that most lawyers are crooks. To prevent the lawyers and attorneys from ripping off the American people, corporations and government monies, which impact consumers, taxpayers and employees we must monitor or the legal profession more closely.

SEC Needs Rules and Regulations Overhaul

The Securities and Exchange Commission or SEC needs a complete overhaul of the rules and regulations. They are hurting the little guy and they are not helping the investor or consumer. With all the massive over disclosure and Sarbanes Oxley rules it is costing corporations millions of dollars each year to comply.

FHA Regulations Aim to Stop Flipping Schemes

The FHA has proposed and adopted new regulations that will control illegal property flipping schemes.

Should the Government Regulators Fine Airlines for Fuel Surcharges on Ticket Prices?

Many are very upset with the surcharges on their airline tickets and some have complained that after purchasing airline tickets on .Com Travel Websites that they were called back later and found there was a surcharge; for higher fuel costs.

Tools For Sarbanes Oxley Compliance

This article discusses several tools for Sarbanes Oxley compliance.

Over Regulation Killing Small Businesses and Franchising

More and more people want to own their own businesses, but government obviously does not seem to want that. It is rather obvious when you look at all the hoops, forms and regulations that small business folks must deal with.

Video Game Regulations on Content

Should we allow the Government to regulate video games? Should we let the industry self-regulate? Do you as a parent regulate the video game content of your children? Have you considered any of this? Well, recently in an online think tank we did and there are many sides to the issue indeed.