1. The NYSE Personal Finance Mrs. Brewer

2. The Stock Market Review O http://ttc.seal- pa.org/SafeVideos/Video.aspx?id=hjuMlola Ko4 http://ttc.seal- pa.org/SafeVideos/Video.aspx?id=hjuMlola Ko4

3. Safeguarding the NYSE United States Congress Securities and Exchange Commission (SEC) NYSE and Other Self Regulatory Organizations Individual Brokerage Firms

4. The Regulatory Pyramid Starts with US Government O Makes New Laws O Protects Investors O Maintain Health of Financial System O Ensures Integrity of Process

5. Safeguarding the NYSE United States Congress Securities and Exchange Commission (SEC) NYSE and Other Self Regulatory Organizations Individual Brokerage Firms

6. 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

7. Safeguarding the NYSE United States Congress Securities and Exchange Commission (SEC) NYSE and Other Self Regulatory Organizations Individual Brokerage Firms

8. The NYSE Regulatory Organization O Stock Exchange publishes O Rules O Policies O Standards of Conduct O On Site Examinations O Computer Surveillance Equipment

9. Safeguarding the NYSE United States Congress Securities and Exchange Commission (SEC) NYSE and Other Self Regulatory Organizations Individual Brokerage Firms

10. 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

11. Safeguarding the NYSE United States Congress Securities and Exchange Commission (SEC) NYSE and Other Self Regulatory Organizations Individual Brokerage Firms

12. 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?

13. 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

14. Supply and Demand

15. 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

16. 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.c om/q?s=^GSPC http://nyjobsource.co m/sandp1.html

17. NYSE Resources NYSE Composite Index Company Information Industry Information History of Stock Performance http://www.nyse.com/

18. Research Time What stocks should you invest in??