Statements (97)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:legislation
|
| gptkbp:appliesTo |
broker-dealers
investment advisers mutual funds public companies securities exchanges |
| gptkbp:enforcedBy |
gptkb:U.S._Securities_and_Exchange_Commission
|
| gptkbp:establishes |
rules for tender offers
disclosure requirements for public offerings proxy rules registration requirements for broker-dealers registration requirements for investment advisers registration requirements for mutual funds registration requirements for securities reporting requirements for beneficial ownership rules for Form 10-K rules for Form 10-Q rules for Form 13F rules for Form 13H rules for Form 144 rules for Form 20-F rules for Form 3 rules for Form 4 rules for Form 40-F rules for Form 5 rules for Form 8-K rules for Form ADV rules for Form CRS rules for Form D rules for Form F-1 rules for Form F-3 rules for Form F-4 rules for Form N-14 rules for Form N-1A rules for Form N-2 rules for Form N-3 rules for Form N-4 rules for Form N-6 rules for Form N-8B-2 rules for Form N-CEN rules for Form N-CSR rules for Form N-MFP rules for Form N-PORT rules for Form N-Q rules for Form N-SAR rules for Form PF rules for Form S-1 rules for Form S-3 rules for Form S-4 rules for Regulation A offerings rules for Regulation A+ rules for Regulation AB rules for Regulation Best Interest rules for Regulation Crowdfunding rules for Regulation D offerings rules for Regulation FD rules for Regulation G rules for Regulation M rules for Regulation S offerings rules for Regulation S-K rules for Regulation S-X rules for Regulation SHO rules for Schedule 13D rules for Schedule 13G rules for alternative trading systems rules for asset-backed securities rules for auditor independence rules for clearing agencies rules for corporate governance rules for credit rating agencies rules for crowdfunding rules for derivatives rules for financial reporting rules for mergers and acquisitions rules for municipal securities dealers rules for securities exchanges rules for short selling rules for transfer agents rules for whistleblower protection |
| https://www.w3.org/2000/01/rdf-schema#label |
SEC Regulations (US)
|
| gptkbp:includes |
gptkb:Sarbanes-Oxley_Act_of_2002
gptkb:Dodd-Frank_Wall_Street_Reform_and_Consumer_Protection_Act gptkb:Investment_Advisers_Act_of_1940 gptkb:Investment_Company_Act_of_1940 gptkb:Securities_Act_of_1933 gptkb:Securities_Exchange_Act_of_1934 |
| gptkbp:prohibits |
insider trading
market manipulation fraudulent activities |
| gptkbp:purpose |
facilitate capital formation
maintain fair, orderly, and efficient markets protect investors |
| gptkbp:regulates |
gptkb:U.S._Securities_and_Exchange_Commission
|
| gptkbp:requires |
periodic financial reporting
disclosure of material information |
| gptkbp:bfsParent |
gptkb:Class_A_Common_Stock
|
| gptkbp:bfsLayer |
7
|