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The NYSEPersonal Finance
Mrs. Brewer
The Stock Market Review
O http://ttc.seal-pa.org/SafeVideos/Video.aspx?id=hjuMlolaKo4
Safeguarding the NYSE
United States Congress
Securities and Exchange
Commission (SEC)NYSE and Other Self
Regulatory Organizations
Individual Brokerage Firms
The Regulatory Pyramid
Starts with US Government
O Makes New Laws
O Protects Investors
O Maintain Health of
Financial SystemO Ensures Integrity of
Process
Safeguarding the NYSE
United States Congress
Securities and Exchange
Commission (SEC)NYSE and Other Self
Regulatory Organizations
Individual Brokerage Firms
The Securities and Exchange Commission (SEC)
O Watchdog Agency
O Created in 1934 after
Stock Market Crash 1929
O Supervises All Exchanges
of Securities Market
Safeguarding the NYSE
United States Congress
Securities and Exchange
Commission (SEC)NYSE and Other Self
Regulatory Organizations
Individual Brokerage Firms
The NYSE Regulatory Organization
O Stock Exchange publishesO RulesO PoliciesO Standards of
Conduct
O On Site ExaminationsO Computer
Surveillance Equipment
Safeguarding the NYSE
United States Congress
Securities and Exchange
Commission (SEC)NYSE and Other Self
Regulatory Organizations
Individual Brokerage Firms
Individual Brokerage Firms
O 300 Firms Member of NYSE
O Self Monitor
O Train and Educate Employees
O NYSE Regulation examines transactions of Brokerage Firms once per year
Safeguarding the NYSE
United States Congress
Securities and Exchange
Commission (SEC)NYSE and Other Self
Regulatory Organizations
Individual Brokerage Firms
Question??O What happens if your cash and
securities are on deposit with a brokerage firm that goes out of business??
O Will you lose your entire investment?
Securities Investor Protection Corporation (SIPC)
O Established 1970
O Protects Customer if Brokerage Firm
Fails
O Losses up to $500,000 per customer
O Maximum $100,000 in cash
Supply and Demand
What Drives Stock Prices?
O Demand created by people who want to buy shares of stock.
O The Supply or Number of Shares is Limited
O Somebody has to want to sell in order for an investor to buy
O More buyers than sellers prices goes up
O If price is too high buyers won’t invest, prices begin to drop
Indexes
http://www.djaverages.com/
The Dow Jones Industrial Average
http://www.bluechiplist.com/blue-chip-stocks/us-blue-chips/
The S&P 500
http://finance.yahoo.com/q?s=^GSPC
http://nyjobsource.com/sandp1.html
NYSE Resources
NYSE Composite Index
Company Information
Industry Information
History of Stock Performance
http://www.nyse.com/
Research Time
What stocks should you invest in??
