The act which created the SEC, outlawed manipulative and abusive practices in...
Established the Securities and Exchange Commission which regulates the activities of securities markets.
A law which extended the disclosure principle to trading in existing securities and provided for control over corporate insiders. This act established the Securities and Exchange Commission.
A statute which established the Securities and Exchange Commission (SEC) and gave it authority over proxy solicitation and registration of organized exchanges. The Exchange Act also regulates insider trading, and gave the Federal Reserve authority over purchases of securities on credit. The Exchange Act regulates the trading of securities, enabling investors to accurately appraise securities by requiring issuers to disclose information in annual and periodic reports to the SEC.
Federal legislation designed to protect the public against unfair and inequitable practices on stock exchanges and in over-the-counter markets throughout the United States.
The federal law, including amendments, pertaining to the trading of securities, stock exchanges, firms, and brokers administered by the SEC.
Law predominately governing the securities activities on the national securities exchanges.
The 1934 Act is the federal statute governing the resale and market activities of securities, including the purchase of securities through proxy solicitations and tender offers and the securities exchanges. The 1934 Act details ongoing reporting requirements for public companies and certain stockholders, including those for annual (Form 10-K), quarterly (Form 10-Q) and other (Form 8-K) reports to stockholders.
The federal law which regulates broker/dealers and secondary market securities transactions.
Federal legislation that created the Securities and Exchange Commission, outlawed manipulative and abusive practices in the issuance of securities, required registration of stock exchanges, brokers, dealers, and listed securities, and required disclosure certain financial information and insider trading.
Federal legislation that established the Securities and Exchange Commission (SEC); prohibited certain practices in the issuance of stock; required registration of stock exchanges, brokers, and dealers; and required publicly-traded corporations to publish certain financial information.
A federal law which requires the registration of companies and agents with the federal government if they are selling securities.
This law created the Securities and Exchange Commission to regulate the securities industry. The law outlawed manipulative and abusive practices in the issuance of securities; it required registration of stock exchanges, brokers and dealers, and registration of exchange-listed securities; it also required disclosure of certain financial information and insider activity. The law gave the SEC surveillance authority over exchanges and brokers, and the authority to regulate margin requirements. The law also authorized the SEC to enforce the Securities Act of 1933. In 1938, the law was amended to allow regulation of over-the-counter markets through self-regulated organizations.
An act of Congress which created the Securities and Exchange Commission and governs the securities markets. See: Securities And Exchange Commission; Securities Exchange Act Of 1933
The Securities Exchange Act of 1934, 48 Stat. 881 (June 6, 1934), codified at et seq., was a sweeping piece of legislation. The Act and related statutes form the basis of regulation of the financial markets and their participants in the United States. It is commonly referred to as the "Exchange Act" or the "'34 Act".