The SEC Administers Many Laws and Regulations Governing the Information

question 32

Essay

The SEC administers many laws and regulations governing the information made in files reports.
Required:
a)What is the difference in issues covered by Regulation S-X and Regulation S-K?
b)How do the issues covered by these regulations differ from the AAERs and SABs?

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Definitions:

Financial Markets

Platforms or systems that facilitate the buying, selling, and trading of financial securities, commodities, and other fungible items of value at low transaction costs and at prices that reflect supply and demand.

Money Markets

Financial markets for short-term borrowing and lending, dealing with assets that mature in less than one year.

Capital Markets

Financial markets where debt or equity securities are traded, providing a mechanism for companies to raise long-term funds and investors to purchase securities.

Money Market Securities

Short-term financial instruments typically with high liquidity and minimal risk.