Keyword Analysis & Research: securities exchange act

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  • SEC.gov | The Laws That Govern the Securities Industry

    sec.gov

    https://www.sec.gov/about/about-securities-laws

    WEBOct 1, 2013 · Securities Exchange Act of 1934 With this Act, Congress created the Securities and Exchange Commission. The Act empowers the SEC with broad authority over all aspects of the securities industry.

    DA: 17 PA: 55 MOZ Rank: 72

  • Securities Exchange Act of 1934 | Wex | US Law | LII / Legal

    cornell.edu

    https://www.law.cornell.edu/wex/securities_exchange_act_of_1934

    WEBThe Securities and Exchange Act of 1934 ("1934 Act," or "Exchange Act") primarily regulates transactions of securities in the secondary market. As such, the 1934 Act typically governs transactions which take place between parties which are not the original issuer, such as trades that retail investors execute through brokerage companies.

    DA: 48 PA: 74 MOZ Rank: 2

  • Securities Exchange Act of 1934 - The New York Stock …

    nyse.com

    https://www.nyse.com/publicdocs/nyse/regulation/nyse/sea34.pdf

    WEBSECURITIES EXCHANGE ACT OF 1934 [AS AMENDED THROUGHP.L. 112-158, APPROVEDAUGUST10, 2012] TABLE OF CONTENTS TITLEI—REGULATION OFSECURITIESEXCHANGES. Sec. 1. Short Title. Sec. 2. Necessity for Regulation As Provided in This Title. Sec. 3. Definitions and Application of Title. Sec. 3A. Swap …

    DA: 28 PA: 48 MOZ Rank: 62

  • Securities Exchange Act of 1934 - Wikipedia

    wikipedia.org

    https://en.wikipedia.org/wiki/Securities_Exchange_Act_of_1934

    WEBThe Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or 1934 Act) (Pub. L. Tooltip Public Law (United States) 73–291, 48 Stat. 881, enacted June 6, 1934, codified at 15 U.S.C. § 78a et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America.

    DA: 20 PA: 32 MOZ Rank: 36

  • What Is the Securities Exchange Act of 1934? Reach and History

    investopedia.com

    https://www.investopedia.com/terms/s/seact1934.asp

    WEBFeb 24, 2023 · The Securities Exchange Act of 1934 (SEA) was created to govern securities transactions on the secondary market, after issue. Its goal was to ensure greater financial transparency and...

    DA: 93 PA: 53 MOZ Rank: 9

  • Securities and Exchange Commission - SEC, Definition & Purpose - HISTORY

    history.com

    https://www.history.com/topics/us-government-and-politics/securities-and-exchange-commission

    WEBMay 3, 2010 · On June 6, 1934, President Franklin D. Roosevelt signed the Securities Exchange Act, which created the SEC. This Act gave the SEC extensive power to regulate the securities industry, including...

    DA: 97 PA: 79 MOZ Rank: 36

  • Full text of Securities Exchange Act of 1934 | Title - FRASER

    stlouisfed.org

    https://fraser.stlouisfed.org/title/securities-exchange-act-1934-1120/fulltext

    WEB[H.R. 9323] AN ACT. T o provide for the regulation of securities exchanges and of over-the-counter. markets operating in interstate and foreign commerce and through the mails, to prevent inequitable and unfair practices on such exchanges and markets, and for other purposes. Be it enacted by the Senate and H om e of Representatives of the.

    DA: 7 PA: 67 MOZ Rank: 86

  • Securities Exchange Act of 1934 - SEC.gov

    sec.gov

    https://www.sec.gov/about/laws/sea34-12g.pdf

    WEBa class of equity security of the issuer of the securities underlying the security futures product. (h) The Commission may by rules and regulations, or upon ap plication of an interested person, by order, after notice and oppor tunity for hearing, exempt in whole or in part any issuer or class of issuers from the provisions of subsection (g) of ...

    DA: 32 PA: 86 MOZ Rank: 7

  • SEC.gov | Rules and Regulations for the Securities and Exchange

    sec.gov

    https://www.sec.gov/about/laws/secrulesregs

    WEBMay 12, 2017 · Rules and Regulations for the Securities and Exchange Commission and Major Securities Laws. Note: See also Researching the Federal Securities Laws Through the SEC Website. Modified: March 29, 2017.

    DA: 87 PA: 15 MOZ Rank: 71

  • Securities Exchange Act of 1934 | Title | FRASER | St. Louis Fed

    stlouisfed.org

    https://fraser.stlouisfed.org/title/securities-exchange-act-1934-1120

    WEBMar 28, 2024 · Securities Exchange Act of 1934, also known as An Act to Provide for the Regulation of Securities Exchanges and of Over-the-Counter Markets Operating in Interstate and Foreign Commerce and Through the Mails, to Prevent Inequitable and Unfair Practices on Such Exchanges and Markets, and for Other Purposes; Public Law 73-291, …

    DA: 100 PA: 16 MOZ Rank: 98