Securities regulation in the United States
GPTKB entity
Statements (63)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:law
|
| gptkbp:appliesTo |
broker-dealers
investment advisers investors public companies private companies issuers of securities investment funds |
| gptkbp:enforcedBy |
gptkb:U.S._Securities_and_Exchange_Commission
self-regulatory organizations state securities regulators |
| gptkbp:governedBy |
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 gptkb:Sarbanes-Oxley_Act gptkb:Jumpstart_Our_Business_Startups_Act |
| https://www.w3.org/2000/01/rdf-schema#label |
Securities regulation in the United States
|
| gptkbp:includes |
public company reporting
registration of securities disclosure requirements anti-fraud provisions broker-dealer regulation investment adviser regulation proxy regulation state blue sky laws insider trading regulations market manipulation prohibitions |
| gptkbp:purpose |
facilitate capital formation
maintain fair, orderly, and efficient markets protect investors |
| gptkbp:regulates |
gptkb:Commodity_Futures_Trading_Commission
gptkb:Financial_Industry_Regulatory_Authority gptkb:U.S._Securities_and_Exchange_Commission |
| gptkbp:relatedTo |
class action lawsuits
criminal penalties self-regulatory organizations corporate governance enforcement actions federal courts mergers and acquisitions federal securities laws arbitration financial reporting state courts auditing standards civil penalties whistleblower protections mediation private placements administrative proceedings public offerings cease and desist orders disgorgement of profits initial public offerings secondary market trading state securities laws |
| gptkbp:bfsParent |
gptkb:Securities_Investor_Protection_Act_of_1970
gptkb:Federal_Securities_Act gptkb:National_Securities_Markets_Improvement_Act_of_1996 gptkb:Truth_in_Securities_Act |
| gptkbp:bfsLayer |
5
|