Statements (49)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:legislation
|
| gptkbp:appliesTo |
broker-dealers
investment advisers mutual funds public companies exchanges |
| gptkbp:enforcedBy |
gptkb:U.S._Securities_and_Exchange_Commission
|
| https://www.w3.org/2000/01/rdf-schema#label |
SEC regulations (US)
|
| gptkbp:includes |
gptkb:Investment_Advisers_Act_of_1940
gptkb:Investment_Company_Act_of_1940 gptkb:Securities_Act_of_1933 gptkb:Securities_Exchange_Act_of_1934 gptkb:Dodd-Frank_Act gptkb:Sarbanes-Oxley_Act |
| gptkbp:jurisdiction |
gptkb:United_States
|
| 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
registration of investment advisers registration of securities whistleblower protections regulation of mutual funds auditor independence disclosure of executive compensation disclosure of material information regulation of broker-dealers regulation of derivatives anti-fraud provisions corporate governance standards regulation of credit rating agencies proxy rules regulation of environmental, social, and governance (ESG) disclosures insider trading prohibition regulation of asset-backed securities regulation of crowdfunding regulation of digital assets regulation of electronic trading regulation of exchanges regulation of foreign private issuers regulation of market manipulation regulation of municipal securities regulation of private placements regulation of short selling regulation of tender offers reporting of beneficial ownership |
| gptkbp:bfsParent |
gptkb:Chinese_Walls
|
| gptkbp:bfsLayer |
7
|