Securities and Exchange Commission (SEC) regulation
GPTKB entity
Statements (51)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:legislation
|
| gptkbp:appliesTo |
broker-dealers
investment advisers mutual funds public companies self-regulatory organizations national securities exchanges publicly traded companies |
| gptkbp:basedOn |
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:enables |
SEC enforcement actions
|
| gptkbp:enforcedBy |
gptkb:U.S._Securities_and_Exchange_Commission
|
| https://www.w3.org/2000/01/rdf-schema#label |
Securities and Exchange Commission (SEC) regulation
|
| gptkbp:includes |
disclosure requirements
reporting requirements registration requirements anti-fraud provisions market manipulation prohibitions proxy rules insider trading rules |
| gptkbp:monitors |
gptkb:SEC_Division_of_Investment_Management
SEC Division of Corporation Finance SEC Division of Enforcement SEC Division of Trading and Markets |
| gptkbp:prohibits |
insider trading
market manipulation fraudulent activities |
| gptkbp:purpose |
facilitate capital formation
maintain fair, orderly, and efficient markets protect investors |
| gptkbp:regulates |
securities markets
|
| gptkbp:requires |
periodic financial reporting
registration of investment advisers disclosure of executive compensation disclosure of material information disclosure of beneficial ownership disclosure of related party transactions registration of securities offerings Form 10-K filings Form 10-Q filings Form 8-K filings disclosure of corporate governance practices disclosure of risk factors proxy statement filings registration of mutual funds |
| gptkbp:bfsParent |
gptkb:Real_Estate_Investment_Trust_(REIT)
|
| gptkbp:bfsLayer |
7
|