Securities Exchange Act of 1934
GPTKB entity
Statements (94)
| Predicate | Object |
|---|---|
| gptkbp:instance_of |
gptkb:United_States_federal_law
|
| gptkbp:bfsLayer |
3
|
| gptkbp:bfsParent |
gptkb:financial_services_company
gptkb:The_Securities_and_Exchange_Commission |
| gptkbp:aims_to |
protect investors
|
| gptkbp:allows |
investors to sue for damages
|
| gptkbp:amended_by |
gptkb:Dodd-Frank_Wall_Street_Reform_and_Consumer_Protection_Act
gptkb:Securities_Acts_Amendments_of_1975 gptkb:Jumpstart_Our_Business_Startups_Act gptkb:Regulation_NMS |
| gptkbp:applies_to |
stock exchanges
|
| gptkbp:effective_date |
September 30, 1934
|
| gptkbp:enacted_by |
gptkb:legislation
|
| gptkbp:enforces |
gptkb:financial_services_company
compliance audits civil and criminal penalties SEC investigations |
| gptkbp:established |
gptkb:financial_services_company
insider trading regulations rules for tender offers civil liabilities for violations rules for foreign issuers rules for investment advisers reporting requirements for public companies rules for investment companies rules for self-regulatory organizations |
| gptkbp:facilitates |
market transparency
|
| gptkbp:has_impact_on |
capital markets
|
| https://www.w3.org/2000/01/rdf-schema#label |
Securities Exchange Act of 1934
|
| gptkbp:includes |
gptkb:Rule_10b-5
Section 30 Section 12 Section 14 Section 16 Section 20 Section 10(b) Section 13 Section 21 Section 23 Section 27 Section 28 Section 29 |
| gptkbp:influenced |
subsequent securities legislation
|
| gptkbp:influenced_by |
gptkb:Great_Depression
|
| gptkbp:is_associated_with |
corporate governance
financial reporting standards public company compliance |
| gptkbp:is_cited_in |
gptkb:legal_case
financial literature regulatory discussions |
| gptkbp:is_considered |
landmark legislation
a cornerstone of U. S. securities law a response to market abuses |
| gptkbp:is_implemented_in |
financial audits
financial disclosures SEC rules and regulations |
| gptkbp:is_influenced_by |
gptkb:Great_Depression
gptkb:stock_market_crash_of_1929 financial crises |
| gptkbp:is_part_of |
gptkb:U._S._economic_policy
U. S. regulatory framework U. S. financial regulatory system U. S. securities regulation framework |
| gptkbp:is_related_to |
gptkb:Sarbanes-Oxley_Act_of_2002
gptkb:Investment_Company_Act_of_1940 gptkb:Securities_Act_of_1933 insider trading laws financial market stability |
| gptkbp:is_subject_to |
judicial review
market surveillance SEC oversight |
| gptkbp:is_used_for |
investor confidence
investor protection market regulation |
| gptkbp:promotes |
fair trading practices
|
| gptkbp:provides |
anti-fraud provisions
rules for insider trading rules for electronic filing rules for market manipulation rules for proxy solicitations rules for shareholder proposals rules for short selling rules for broker-dealers rules for clearing agencies rules for municipal securities. |
| gptkbp:regulates |
securities transactions
|
| gptkbp:related_to |
gptkb:Securities_Act_of_1933
|
| gptkbp:requires |
registration of securities
public companies to disclose financial information disclosure of executive compensation filing of annual reports filing of quarterly reports disclosure of beneficial ownership |
| gptkbp:signed_by |
gptkb:Franklin_D._Roosevelt
|