ligaments-enterprise/sec-data-preferences · Datasets at Hugging Face

What are capital markets?

Capital markets are where securities such as stocks, bonds, digital asset securities, and shares of investment funds are issued and traded.

What is the size of U.S. capital markets?

U.S. capital markets measure more than $100 trillion in value, composed of approximately $49 trillion in equity and $55 trillion in fixed income.

This relates to financial markets.

Explain the size of U.S. capital markets?

U.S. capital markets measure more than $100 trillion in value, composed of approximately $49 trillion in equity and $55 trillion in fixed income.

U.S. capital markets measure more than $100 trillion in value, composed of approximately $49 trillion in equity and $55 trillion in fixed income. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What percentage of global markets do U.S. capital markets represent?

U.S. capital markets represent approximately 40% of global equity and fixed income markets, making them the largest globally.

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What are the main functions of capital markets?

Capital markets facilitate capital formation for businesses, provide liquidity for investments, and enable price discovery through supply and demand.

This relates to financial markets.

What percentage of U.S. firm financing comes from capital markets?

U.S. capital markets provided 74% of financing for nonfinancial firms in 2023.

U.S. capital markets provided 74% of financing for nonfinancial firms in 2023. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What are the main instrument types in capital markets?

Main instruments include equities (stocks), fixed income (bonds), investment fund shares, and digital asset securities.

What is the difference between equities and bonds?

Equities represent ownership stakes in companies and provide residual claims on profits, while bonds represent debt obligations.

This relates to financial markets.

Explain the difference between equities and bonds?

Equities represent ownership stakes in companies and provide residual claims on profits, while bonds represent debt obligations.

Equities represent ownership stakes in companies and provide residual claims on profits, while bonds represent debt obligations. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

How are capital markets structured?

Capital markets include primary markets for new issuances and secondary markets for trading existing securities.

What is the impact of are capital markets structured?

Capital markets include primary markets for new issuances and secondary markets for trading existing securities.

This relates to financial markets.

What is the role of primary markets?

Primary markets facilitate the initial issuance of securities by companies and governments seeking to raise capital.

Primary markets facilitate the initial issuance of securities by companies and governments seeking to raise capital. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

Explain the role of primary markets?

Primary markets facilitate the initial issuance of securities by companies and governments seeking to raise capital.

What is the role of secondary markets?

Secondary markets provide liquidity for existing securities and enable ongoing price discovery for traded instruments.

This relates to financial markets.

Explain the role of secondary markets?

Secondary markets provide liquidity for existing securities and enable ongoing price discovery for traded instruments.

Secondary markets provide liquidity for existing securities and enable ongoing price discovery for traded instruments. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

Who is the primary regulator of capital markets?

The Securities and Exchange Commission (SEC) is the primary regulator of capital markets in the United States.

What is the SEC's mission?

The SEC's mission consists of three parts: facilitate capital formation, protect investors, and maintain fair, orderly, and efficient markets.

This relates to financial markets.

Explain the SEC's mission?

The SEC's mission consists of three parts: facilitate capital formation, protect investors, and maintain fair, orderly, and efficient markets.

The SEC's mission consists of three parts: facilitate capital formation, protect investors, and maintain fair, orderly, and efficient markets. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

How many companies does the SEC oversee?

The SEC oversees approximately 8,300 reporting companies and around 4,000 publicly traded companies.

What is the impact of many companies does the sec oversee?

The SEC oversees approximately 8,300 reporting companies and around 4,000 publicly traded companies.

This relates to financial markets.

How many registered investment funds does the SEC oversee?

The SEC oversees approximately 13,000 registered funds in the United States.

The SEC oversees approximately 13,000 registered funds in the United States. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What is the impact of many registered investment funds does the sec oversee?

The SEC oversees approximately 13,000 registered funds in the United States.

How many investment advisers register with the SEC?

The SEC oversees approximately 15,400 registered investment advisers.

This relates to financial markets.

What is the impact of many investment advisers register with the sec?

The SEC oversees approximately 15,400 registered investment advisers.

The SEC oversees approximately 15,400 registered investment advisers. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

How many broker-dealers are registered with the SEC?

The SEC oversees approximately 3,400 broker-dealers.

What is the impact of many broker-dealers are registered with the sec?

The SEC oversees approximately 3,400 broker-dealers.

This relates to financial markets.

How many national securities exchanges exist?

There are 24 national securities exchanges under SEC oversight.

There are 24 national securities exchanges under SEC oversight. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What is the impact of many national securities exchanges exist?

There are 24 national securities exchanges under SEC oversight.

How many alternative trading systems does the SEC regulate?

The SEC oversees 103 alternative trading systems.

This relates to financial markets.

What is the impact of many alternative trading systems does the sec regulate?

The SEC oversees 103 alternative trading systems.

The SEC oversees 103 alternative trading systems. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

When was the SEC created?

The SEC was created in 1934 through the Securities Exchange Act following the stock market crash of 1929.

What is the SEC's regulatory approach?

The SEC primarily focuses on disclosure and transparency to enable informed investment decisions rather than regulating prices directly.

This relates to financial markets.

Explain the SEC's regulatory approach?

The SEC primarily focuses on disclosure and transparency to enable informed investment decisions rather than regulating prices directly.

The SEC primarily focuses on disclosure and transparency to enable informed investment decisions rather than regulating prices directly. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

How many SEC commissioners are there?

Five presidentially appointed commissioners lead the SEC, including a chair, all subject to Senate confirmation.

What is the impact of many sec commissioners are there?

Five presidentially appointed commissioners lead the SEC, including a chair, all subject to Senate confirmation.

This relates to financial markets.

What is the SEC's annual budget?

The SEC's annual budget for FY2024 was approximately $2.1 billion.

The SEC's annual budget for FY2024 was approximately $2.1 billion. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

Explain the SEC's annual budget?

The SEC's annual budget for FY2024 was approximately $2.1 billion.

The SEC's annual budget for FY2024 was approximately $2.

How is the SEC's budget funded?

The SEC's budget is funded through fees on securities transactions collected from securities exchanges and directed to the U.S. Treasury.

This relates to financial markets.

What is the impact of is the sec's budget funded?

The SEC's budget is funded through fees on securities transactions collected from securities exchanges and directed to the U.S. Treasury.

The SEC's budget is funded through fees on securities transactions collected from securities exchanges and directed to the U.S. Treasury. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What are the SEC's main divisions?

Main divisions include Division of Corporation Finance, Division of Trading and Markets, Division of Investment Management, and Office of General Counsel.

What is the SEC's enforcement authority?

The SEC has authority to bring civil enforcement actions against violators of securities laws and coordinate with criminal authorities.

This relates to financial markets.

Explain the SEC's enforcement authority?

The SEC has authority to bring civil enforcement actions against violators of securities laws and coordinate with criminal authorities.

The SEC has authority to bring civil enforcement actions against violators of securities laws and coordinate with criminal authorities. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What is equity or stock?

Equity represents ownership of a firm, with stockholders claiming residual profits after all obligations are met.

Explain equity or stock?

Equity represents ownership of a firm, with stockholders claiming residual profits after all obligations are met.

This relates to financial markets.

What are bonds?

Bonds are fixed income securities representing debt obligations, paying periodic interest (coupons) and principal at maturity.

Bonds are fixed income securities representing debt obligations, paying periodic interest (coupons) and principal at maturity. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What are digital asset securities?

Digital asset securities are digital representations of value in securities form, subject to SEC oversight.

What is a share of an investment fund?

A share of an investment fund represents fractional ownership in a diversified portfolio managed by professionals.

This relates to financial markets.

Explain a share of an investment fund?

A share of an investment fund represents fractional ownership in a diversified portfolio managed by professionals.

A share of an investment fund represents fractional ownership in a diversified portfolio managed by professionals. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What is a mutual fund?

A mutual fund is an investment company that pools capital from investors to purchase diversified securities under professional management.

Explain a mutual fund?

A mutual fund is an investment company that pools capital from investors to purchase diversified securities under professional management.

This relates to financial markets.

What is an exchange-traded fund?

An ETF is a fund that trades on securities exchanges like stocks, typically tracking market indices with lower fees than mutual funds.

An ETF is a fund that trades on securities exchanges like stocks, typically tracking market indices with lower fees than mutual funds. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

Explain an exchange-traded fund?

An ETF is a fund that trades on securities exchanges like stocks, typically tracking market indices with lower fees than mutual funds.

What is a closed-end fund?

A closed-end fund issues a fixed number of shares traded on exchanges and does not offer continuous share redemption.

This relates to financial markets.

Explain a closed-end fund?

A closed-end fund issues a fixed number of shares traded on exchanges and does not offer continuous share redemption.

A closed-end fund issues a fixed number of shares traded on exchanges and does not offer continuous share redemption. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What is a money market fund?

A money market fund invests in short-term debt securities and aims to provide liquidity and capital preservation.

Explain a money market fund?

A money market fund invests in short-term debt securities and aims to provide liquidity and capital preservation.

This relates to financial markets.

What is a bond fund?

A bond fund invests in debt securities and provides diversified exposure to fixed-income markets.

A bond fund invests in debt securities and provides diversified exposure to fixed-income markets. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

Explain a bond fund?

A bond fund invests in debt securities and provides diversified exposure to fixed-income markets.

What is a hedge fund?

A hedge fund is a private investment fund using complex strategies including leverage, short selling, and derivatives.

This relates to financial markets.

Explain a hedge fund?

A hedge fund is a private investment fund using complex strategies including leverage, short selling, and derivatives.

A hedge fund is a private investment fund using complex strategies including leverage, short selling, and derivatives. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What is a sector fund?

A sector fund concentrates investments in specific industries or economic sectors.

Explain a sector fund?

A sector fund concentrates investments in specific industries or economic sectors.

This relates to financial markets.

What is an international fund?

An international fund invests in foreign securities, providing exposure to overseas markets.

An international fund invests in foreign securities, providing exposure to overseas markets. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

Explain an international fund?

An international fund invests in foreign securities, providing exposure to overseas markets.

What is a load versus no-load fund?

Load funds charge sales commissions while no-load funds do not charge upfront fees.

This relates to financial markets.

Explain a load versus no-load fund?

Load funds charge sales commissions while no-load funds do not charge upfront fees.

Load funds charge sales commissions while no-load funds do not charge upfront fees. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What is the expense ratio?

The expense ratio represents annual fund operating costs as a percentage of assets under management.

Explain the expense ratio?

The expense ratio represents annual fund operating costs as a percentage of assets under management.

This relates to financial markets.

What is the Securities Act of 1933?

The Securities Act of 1933 requires registration of securities offerings and mandates disclosure of material information to investors.

The Securities Act of 1933 requires registration of securities offerings and mandates disclosure of material information to investors. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

Explain the Securities Act of 1933?

The Securities Act of 1933 requires registration of securities offerings and mandates disclosure of material information to investors.

What is the Securities Exchange Act of 1934?

The Securities Exchange Act of 1934 regulates secondary markets, broker-dealers, exchanges, and market manipulation.

This relates to financial markets.

Explain the Securities Exchange Act of 1934?

The Securities Exchange Act of 1934 regulates secondary markets, broker-dealers, exchanges, and market manipulation.

The Securities Exchange Act of 1934 regulates secondary markets, broker-dealers, exchanges, and market manipulation. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What is the Investment Company Act of 1940?

The Investment Company Act regulates registered investment companies to protect investors through disclosure and operational restrictions.

Explain the Investment Company Act of 1940?

The Investment Company Act regulates registered investment companies to protect investors through disclosure and operational restrictions.

This relates to financial markets.

What is the Investment Advisers Act of 1940?

The Investment Advisers Act requires investment advisers to register with the SEC and comply with fiduciary duties.

The Investment Advisers Act requires investment advisers to register with the SEC and comply with fiduciary duties. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

Explain the Investment Advisers Act of 1940?

The Investment Advisers Act requires investment advisers to register with the SEC and comply with fiduciary duties.

What are public offerings?

Public offerings, also called registered offerings, involve securities registered with the SEC and available to all investors.

This relates to financial markets.

What are private offerings?

Private offerings are securities exempt from registration and available only to qualified institutional or high-net-worth investors.

Private offerings are securities exempt from registration and available only to qualified institutional or high-net-worth investors. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What is the difference between retail and institutional investors?

Retail investors are individuals and households, while institutional investors are organizations, with retail investors receiving more regulatory protection.

Explain the difference between retail and institutional investors?

Retail investors are individuals and households, while institutional investors are organizations, with retail investors receiving more regulatory protection.

This relates to financial markets.

What is a prospectus?

A prospectus is a document describing securities offerings, including business information, risks, and financial statements.

A prospectus is a document describing securities offerings, including business information, risks, and financial statements. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

Explain a prospectus?

A prospectus is a document describing securities offerings, including business information, risks, and financial statements.

What is a shelf registration?

A shelf registration allows companies to register securities with the SEC and offer them over time without new registrations.

This relates to financial markets.

Explain a shelf registration?

A shelf registration allows companies to register securities with the SEC and offer them over time without new registrations.

A shelf registration allows companies to register securities with the SEC and offer them over time without new registrations. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What is a proxy statement?

A proxy statement provides shareholders information about matters to be voted on, enabling proxy voting.

Explain a proxy statement?

A proxy statement provides shareholders information about matters to be voted on, enabling proxy voting.

This relates to financial markets.

What is a Form 10-K?

Form 10-K is the annual report companies must file with the SEC containing comprehensive business and financial information.

Form 10-K is the annual report companies must file with the SEC containing comprehensive business and financial information. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

Explain a Form 10-K?

Form 10-K is the annual report companies must file with the SEC containing comprehensive business and financial information.

What is a Form 10-Q?

Form 10-Q is a quarterly report filed with the SEC providing updated financial information.

This relates to financial markets.

Explain a Form 10-Q?

Form 10-Q is a quarterly report filed with the SEC providing updated financial information.

Form 10-Q is a quarterly report filed with the SEC providing updated financial information. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What is Form 8-K?

Form 8-K is filed to report material events or changes requiring immediate disclosure to investors.

Explain Form 8-K?

Form 8-K is filed to report material events or changes requiring immediate disclosure to investors.

This relates to financial markets.

What is the regulation of insider trading?

Insider trading involves trading on non-public material information and is prohibited under SEC regulations and criminal law.

Insider trading involves trading on non-public material information and is prohibited under SEC regulations and criminal law. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

Explain the regulation of insider trading?

Insider trading involves trading on non-public material information and is prohibited under SEC regulations and criminal law.

What is short selling?

Short selling involves selling borrowed securities expecting to buy them back at lower prices, profiting from price declines.

This relates to financial markets.

Explain short selling?

Short selling involves selling borrowed securities expecting to buy them back at lower prices, profiting from price declines.

Short selling involves selling borrowed securities expecting to buy them back at lower prices, profiting from price declines. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What are national securities exchanges?

National securities exchanges are organized markets where securities are traded under SEC rules and FINRA oversight.

What are alternative trading systems?

Alternative trading systems are electronic trading venues that are not registered as exchanges but operate under SEC Regulation ATS.

This relates to financial markets.

What are market makers?

Market makers provide liquidity by continuously quoting bid and ask prices for securities.

Market makers provide liquidity by continuously quoting bid and ask prices for securities. Additionally, this is a complex topic that involves many regulatory frameworks and market mechanisms that are governed by various financial authorities and require deep understanding of economic principles and market dynamics.

What is the bid-ask spread?

The bid-ask spread is the difference between the price at which market makers will buy (bid) and sell (ask) securities.