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One of the things that came out and was firmly embodied into law with the advent of the SEC.
随着证交会的成立,一些相关的金融规范,被写入了法律条文
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The problem with being a public investment company is you have to file quarterly reports about all the things you've invested in.
而公共券商的困难在于,你必须按季度向证交会报告,公司所有的投资活动
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They were making risky investments but they weren't reporting them properly on the SEC forms, so people didn't know how risky Enron was.
从事风险投资,安然并未按照证交会规定适当披露这些消息,所以大众不知安然面临多大风险
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There were precursors to this, but the SEC forces the difference between public and private securities and this is a very important distinction.
例如证交会强制界定了,公共券商与私募券商之间的差异,这是非常重要的划分
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If you're a public company it means that you've gone through the procedures at the SEC to be approved as a public company.
一家上市公司,是通过证交会的审查程序,而被批准为上市公司的
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It's not their choice--they might like to advertise -but they can't without running afoul of the SEC.
他们也不想这样...他们也想登广告,但是不可以登,否则会与证交会起冲突
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This is another example of off balance sheet accounting that was frustrating the rules of the SEC.
这也是重创证交会,所制定的规范的一个例子
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It was organized by the SEC in 1973, but the SEC didn't want to do this job; they wanted it to be done privately.
而是由证交会创建于1973年,证交会不想接手该职责,希望由民间组织来监管
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You could not sell a security without giving a prospectus to the potential buyers and the prospectus would be something approved by the SEC.
没有招股说明书就不可以,出售证券给潜在买家,而且招股书需要通过证交会审核
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If you are--this is a private investment company -let's think before we talk about hedge--think of -suppose you're a public investment company approved by the SEC.
如果你是...这是一种私募投资公司,...在我们讨论对冲基金之前大家想一想,...假设你有一家经证交会认证的公共券商
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I don't know if the word is approved but it's--you have to run it by the SEC and then you always have to give that up.
不知道人们对此是否认同,但是你不得不按证交会的规则去办事,不断地提交这类文件
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But the law--the SEC requires that they at least present the standard earnings definitions for all these things Now another--let me just mention off balance sheet accounting.
不过,证交会规定他们至少要披露,各项收益标准定义,另一个内容,表外业务会计核算
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The idea, from the beginning at the SEC, was that insiders should not be allowed to trade on information that is not properly disclosed to the public.
证交会从成立开始就规定,局内人不得利用未公开披露的信息,进行内幕交易
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The SEC--you have to decide-- you hear about public companies and private companies.
证交会...你必须选择...,你应该听说过上市公司和私营公司
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They'll say,you're behaving like a public company and you're not public.
证交会会说这是公共券商的行为,但你们不面向公众
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The SEC and other regulators have to watch for this.
但证交会和其它监管机构监督此举
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Public securities are securities that the SEC will accept as suitable for the general public and private securities are securities that have not been vetted by the SEC for the general public.
公共券商是指那些经证交会审核通过,适于面向大众经营证券买卖的证券公司,而私募券商是指那些未经,证交会审查,面向大众的证券公司
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Last year, the SEC put out a proposal that -it's getting too easy to be an accredited investor -so they put out a proposal that we raise the wealth level to $2.5 million.
去年证交会发布了一项提议,鉴于合格投资者的门槛较低,因此他们提议,把准入门槛提高到250万美元
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If you are a public company, the important thing is you have to do all of the disclosure that Louis Brandeis would have liked; you have to file regular forms with the SEC, disclosing information.
作为一家上市公司,你必须公布所有必要信息,就像是路易斯·布兰代斯曾希望的那样,你必须定期向证交会上交文件,披露公司的信息
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The one thing that the SEC requires that companies file is their balance sheet, which you can look up for any company on EDGAR.
证交会规定公司要披露的,公司文件之一就是资产负债表,在EDGAR上可查到任一公司的资产负债表
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F.D. stands for full disclosure -this is a SEC regulation.
.D.是指公司财务信息的完全披露,这是证交会的一项规定
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