Statements (62)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:United_States_federal_law
|
| gptkbp:amendedBy |
gptkb:Dodd-Frank_Act
gptkb:Sarbanes-Oxley_Act |
| gptkbp:appliesTo |
broker-dealers
securities exchanges self-regulatory organizations municipal securities dealers clearing agencies municipal advisors national securities exchanges over-the-counter markets transfer agents publicly traded companies securities information processors securities clearing agencies securities dealers securities intermediaries securities brokers securities depositories major security-based swap participants securities borrowers securities creditors securities custodians securities lenders securities lending agents securities transfer agents security-based swap data repositories security-based swap dealers nationally recognized statistical rating organizations |
| gptkbp:codifiedIn |
15 U.S.C. § 78a et seq.
|
| gptkbp:dateEnacted |
June 6, 1934
|
| gptkbp:enactedBy |
gptkb:United_States_Congress
|
| gptkbp:enforcedBy |
gptkb:Department_of_Justice
gptkb:U.S._Securities_and_Exchange_Commission self-regulatory organizations |
| gptkbp:established |
gptkb:U.S._Securities_and_Exchange_Commission
|
| https://www.w3.org/2000/01/rdf-schema#label |
Exchange Act of 1934
|
| gptkbp:nickname |
gptkb:Exchange_Act
SEA '34 Act |
| gptkbp:officialName |
gptkb:Securities_Exchange_Act_of_1934
|
| gptkbp:prohibits |
insider trading
|
| gptkbp:publicLawNumber |
Public Law 73-291
|
| gptkbp:purpose |
regulate secondary trading of securities
|
| gptkbp:regulates |
market manipulation
proxy solicitations margin requirements tender offers short sales |
| gptkbp:relatedTo |
gptkb:Investment_Advisers_Act_of_1940
gptkb:Investment_Company_Act_of_1940 gptkb:Securities_Act_of_1933 |
| gptkbp:requires |
disclosure of material information
periodic reporting by public companies |
| gptkbp:section |
Section 13
Section 16 Section 21 Section 10(b) |
| gptkbp:signedBy |
gptkb:Franklin_D._Roosevelt
|
| gptkbp:statutesAtLargeCitation |
48 Stat. 881
|
| gptkbp:bfsParent |
gptkb:Regulation_AB
|
| gptkbp:bfsLayer |
7
|