Securities Exchange Act of 1934


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Related to Securities Exchange Act of 1934: Securities Act of 1933

Securities Exchange Act of 1934

Legislation that created the SEC, outlawing dishonest practices in the trading of securities.

Securities Exchange Act of 1934

Legislation in the United States that regulated broker-dealers and secondary trades on American stock exchanges. This Act also created the Securities and Exchange Commission to help it accomplish its goals. The act prohibited certain trades that would unfairly or dangerously manipulate prices. For example, the Act forbids churning, in which an investor makes both buy and sell orders through different brokers to create the impression of increased interest in the security and to raise the price. It was one of the most important regulatory laws that came out of the New Deal.

Securities Exchange Act of 1934

Landmark legislation that established the SEC and that gives it authority over proxy solicitation and registration of organized exchanges. In addition, the Act sets disclosure requirements for securities in the secondary market, regulates insider trading, and gives the Federal Reserve authority over credit purchases of securities. When established, the Act reflected an effort to extend and overcome shortcomings of the Securities Act of 1933. These two pieces of legislation are the basis of securities regulation in the twentieth century. See also Foreign Corrupt Practices Act, Williams Act.
References in periodicals archive ?
An introduction to federal securities law, found on the site's main arbitration page, addresses the Securities Act of 1933 and the Securities Exchange Act of 1934, and summarizes section 10b and Rule 10b-5, the antifraud provisions of the Securities Exchange Act of 1934.
Even if aspects of Sarbanes-Oxley are ultimately imposed on mutual and other nonpublic insurance companies by insurance regulators, as is currently being considered, the difference between being subject to the periodic reporting requirements of the Securities Exchange Act of 1934, and not being subject to such requirements, is a singular one that colors every major business decision in the life of the company.
The second key to the current regulatory focus is resiliency: Continued resiliency of books and records (essentially unchanged from previous regulatory guidelines (see Securities Exchange Act of 1934 (Amended), Rules 17(a)(3) and 17(a)(4)); resiliency of intraday processing to reduce exposure to lost or unsettled transactions; and overall resiliency of the financial markets as a whole through an industry-wide synchronized but continually shrinking recovery time objective (i.e., 2-4 hours).
(G) a broker or dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934 (15 U.S.C.
Impact of the new Section 13 (j) of the Securities Exchange Act of 1934
SAFEWAY EXECS SET 10b5-1 STOCK PLAN: Two senior executives of Safeway Inc.--chairman, president and chief executive officer Steven Burd and senior vice president and chief information officer David Ching--have established stock trading plans under Rule 10b5-1 of the Securities Exchange Act of 1934. The rule permits individuals not in possession of material nonpublic information to establish prearranged plans to buy or sell company stock.
Representative Ted Strickland has introduced a bill in the House of representatives titled "Responsibility in Federal Contracts Act." If enacted, the bill would prohibit the federal government from entering into contracts with any company that files periodic reports under [section] 13(a) (Periodical and Other Reports) or [section] 15(d) (Filing of Supplementary and Periodic Information) of the Securities Exchange Act of 1934 (15 U.S.C.
[penalty provision] was considered and rejected by Congress" when it enacted the Securities Exchange Act of 1934. Blau v.
The Securities Exchange Act of 1934 and the Insider Trading Sanctions Act of 1984 have provisions which forbid insider trading.
The Securities Exchange Act of 1934 requires that all publicly traded companies make yearly financial disclosures to their shareholders.
of Lonoke has filed its Form 10-SB registration with the Securities and Exchange Commission to become a reporting company under the Securities Exchange Act of 1934. PetQuarters' Form 10-SB can be accessed via the Edgar database and is currently under review by the SEC.
YogaWorks announced that the company has determined it to be in its best interests to proceed with plans to remove its common stock from listing on The NASDAQ Stock Market and will file an application on Form 25, Notification of Removal From Listing and/or Registration Under Section 12b of the Securities Exchange Act of 1934. The decision was based on the company's current financial situation, taking into account the fact that the company's common stock is held by relatively few holders and there is limited trading of the company's common stock on NASDAQ.

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