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      Functional Areas: Funding, Legal, Marketing, Recruiting
      Skills: Leadership, Productivity

  4. About SEC

    The U.S. Securities and Exchange Commission (commonly known as the SEC) is a United States government agency having primary responsibility for enforcing the federal securities laws and regulating the securities industry/stock market. The SEC was created by section 4 of the Securities Exchange Act of 1934 (now codified as 15|78d and commonly referred to as the 1934 Act). In addition to the 1934 Act that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002 and other statutes.

    Christopher Cox is the current chairman of the SEC. He was appointed by President George W. Bush.

    President Franklin Delano Roosevelt appointed Joseph P. Kennedy, Sr., father of President John F. Kennedy, to serve as the first Chairman of the SEC. For a full list of SEC chairs and commissioners, see: Securities and Exchange Commission appointees.

  1. SEC

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    1-12 of 12

    1. Mentioned In 12 Articles

    2. How to Attract Crowdfunding Investors Without Breaking the Law

      Explore Business & Small Business (Apr 10 2012) Funding , Marketing

      How to Attract Crowdfunding Investors Without Breaking the Law ...must reveal their relationship. And firms attempting to attract investor dollars must file with the SEC and provide investors annual reports of financial conditions and operating results. Related: The JO... (Read Full Article)

      Mentions:   SEC   Austin   Texas

    3. Start a Company; It's Your Only Hope of Living the Life You Want

      Explore inc.com (Jan 31 2012)

      Start a Company; It's Your Only Hope of Living the Life You Want ...what industry you're in. Expect it to happen sooner than later. Unemployment, COBRA, the EPA, FEMA, SEC, and most other government safety blankets and protectors are irrelevant. It's not that the good pe... (Read Full Article)

      Mentions:   China   SEC   EPA

    4. Five Top Tips for Soliciting Accredited Investors

      Explore Fox Small Business Center (Jan 24 2012) Funding

      Five Top Tips for Soliciting Accredited Investors ...he two years prior to investment. The net worth standards were recently amended by Congress and the SEC to exclude a prospective investor’s primary residence in the calculation. Entrepreneurs who raise m... (Read Full Article)

      Mentions:   SEC   Congress

    5. Don’t Pay Bribes to Get International Expansion

      Explore Startup Professionals Musings (May 8 2011)

      ...tation and your business. In a recent update by Thomson-Reuters, the U.S. Justice Department and SEC reported imposing over $1.5 billion in penalties on companies in 2010. In a very recent internation... (Read Full Article)

      Mentions:   SEC   Ernst H. Gemassmer   Malaysia

    6. Don’t Be Fooled by Investment Scams For Startups

      Explore Startup Professionals Musings (Jan 30 2011)

      Don’t Be Fooled by Investment Scams For Startups ...verify. Every reputable investment firm is registered with FINRA and files regular reports with the SEC. Look for these and investigate thoroughly to check the truth of every statement about the company.... (Read Full Article)

      Mentions:   Microsoft   SEC   Google

    7. Seven Attributes of a Startup Dream Team CFO

      Explore Startup Professionals Musings (Jan 7 2011)

      Seven Attributes of a Startup Dream Team CFO ... all the rage to have MBAs in the top finance role. These days, with Sarbanes-Oxley and all the new SEC regulations, an MBA does not begin to cover the accounting, process, and tax knowledge needed to st... (Read Full Article)

      Mentions:   SEC   Marty Zwilling   Mark MacLeod

    8. The Do’s and Don’ts of Today’s Business Networking

      Explore Startup Professionals Musings (Nov 10 2010)

      The Do’s and Don’ts of Today’s Business Networking ...aks, lunch, mixers, or scheduled activities. Join a local investment group. If you can meet the SEC “accredited investor” criteria ($1M net worth or $200K annual income), this is a great way to be se... (Read Full Article)

      Mentions:   SEC   Marty Zwilling   Facebook

    9. Why Finders Are Losers

      Explore The Startup Lawyer (Oct 28 2010) Funding

      ...red with FINRA (Financial Industry Regulatory Authority) and your state’s securities board. And the SEC is closing the window on these unregistered broker-dealers. Most importantly, using an unregistered... (Read Full Article)

      Mentions:   SEC

    10. How A Teen Entrepreneur Grew Up To Be The Youngest African American CEO Of A Publicly-Held Company — with Ephren Taylor

      Explore mixergy.com (Aug 24 2010)

      How A Teen Entrepreneur Grew Up To Be The Youngest African American CEO Of A Publicly-Held Company — with Ephren Taylor ...got to be very careful with what I say on this video. Andrew: Okay. Ephren: I do not want to get an SEC letter. There is a six month lag time from the documents that you look at. When I first particular ... (Read Full Article)

      Mentions:   America   Missouri   National Public Radio

    11. Tips on Finding and Approaching Angel Investors

      Explore ReadWriteWeb (Jul 3 2010) Funding

      ...asaki's words, "'accredited' is legalese for 'rich enough to never get back a penny," but their are SEC guidelines on exactly what this means and who qualifies. Don't underestimate them. Kawasaki urges ... (Read Full Article)

      Mentions:   Kawasaki   Jason Calacanis   SEC

    12. What the Bubble Got Right

      Explore Paul Graham (May 21 2010)

      ...e the paperwork for them. A 26 year old may not be very good at managing people or dealing with the SEC. Those require experience. But those are also commodities, which can be handed off to some lieutena... (Read Full Article)

      Mentions:   America   Jessica Livingston   Enron

    13. How to Fund a Startup

      Explore Paul Graham (May 21 2010) Funding

      ...enture firms; and they may not be accredited investors, which could complicate your life later. The SEC defines an "accredited investor" as someone with over a million dollars in liquid assets or an inco... (Read Full Article)

      Mentions:   America   Boston   Tim O'Reilly

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