Finance 370 Lt, Ethics and Compliance Paper

Finance 370 Lt, Ethics and Compliance Paper

  • Submitted By: thaiboy2931
  • Date Submitted: 01/18/2014 10:34 PM
  • Category: Business
  • Words: 468
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Ethics and Compliance Paper
FIN/370
November 02. 2013
Ethics and Compliance Paper
The financial market in the United States contains many separate twists, and with unpredictable diverse products that offers many trading platforms and exchanges. The platform and exchanges consists of many categories, such as fixed-income securities, equities, foreign exchange, stocks, bonds, commodities, and derivatives. The financial market also refer to as capital market, Wall Street, money market, and simply market, which where investors trades those securities to profit. The security comes from many corporations that introduce or provides those securities to the market to create cash flow for the company to operate, create a new venture, or expand the company, which allow the investors to trade and profit. The firm issue share of stocks or securities, and enter the market in two stages, such as primary and secondary. Primary is the first stage and also the initial issue of stocks. The secondary allows the investors to buy and sell or trade those stocks. The makeup of these securities for those investors to profit by making trades in the world stock exchanges, and the most watch is New York Stock Exchange (NYSE) and NASDAQ. Once the stocks enter the market, which the security exchange commission (SEC) control the flows of information about the firm, which helps to protect the investors from fraud of information or reports that comes from any firms.

To look at Wal-Mart Corporation in the financial market today that trade stocks publicly under the code of WMT in NYSE. According to Wal-Mart website that shows five years of financial summary, which shown an increase of net sales, gross profit margin, and net income per share of common stock each year. Multiple investors sometimes view the inventory and receivables to calculate the company use of assets, which more efficient means good investment. Wal-Mart shows 418.9 billion in net sales in 2011, and five...

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