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The 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.
Feb 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...
Full text of Securities Exchange Act of 1934. View original document. The full text on this page is automatically extracted from the file linked above and may contain errors and inconsistencies. [CORRECTED PRINT! [P u b l i c — No. 2 91 — 7 3 d C o n g r ess] [H.R. 9323] AN ACT.
The Securities Exchange Act of 1934, referred to in subsec. (a)(47), is act June 6, 1934, ch. 404, 48 Stat. 881, which is classified generally to this chapter (§78a et seq.). For complete classification of this Act to the Code, see section 78a of this title and Tables. The Sarbanes-Oxley Act of 2002, referred to in subsec.
May 12, 2017 · Form and Content of and Requirements for Financial Statements, Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Investment Company Act of 1940, Investment Advisers Act of 1940, and Energy Policy and Conservation Act of 1975
a 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 ...
May 2, 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, 73d Congress, H.R. 93...
