|
gptkbp:instanceOf
|
gptkb:law
|
|
gptkbp:allows
|
private placements
exempt offerings
|
|
gptkbp:amendedBy
|
gptkb:Sarbanes-Oxley_Act_of_2002
gptkb:Dodd-Frank_Wall_Street_Reform_and_Consumer_Protection_Act
gptkb:Jumpstart_Our_Business_Startups_Act
|
|
gptkbp:appliesTo
|
broker-dealers
investment advisers
public companies
securities exchanges
self-regulatory organizations
investment companies
issuers of securities
|
|
gptkbp:country
|
gptkb:United_States
|
|
gptkbp:defines
|
gptkb:bank
gptkb:government_agency
gptkb:security
asset management company
data exchange
issuer
material information
dealer
investment adviser
insider
|
|
gptkbp:enforcedBy
|
gptkb:U.S._Department_of_Justice
gptkb:U.S._Securities_and_Exchange_Commission
state securities regulators
|
|
https://www.w3.org/2000/01/rdf-schema#label
|
U.S. Securities Laws
|
|
gptkbp:include
|
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
gptkb:Jumpstart_Our_Business_Startups_Act
|
|
gptkbp:prohibits
|
insider trading
market manipulation
fraud in securities transactions
|
|
gptkbp:purpose
|
facilitate capital formation
maintain fair, orderly, and efficient markets
protect investors
|
|
gptkbp:regulates
|
securities
|
|
gptkbp:requires
|
registration of investment advisers
registration of investment companies
registration of securities
periodic reporting
disclosure of material information
financial statement audits
registration of broker-dealers
proxy disclosures
|
|
gptkbp:subject
|
state blue sky laws
|
|
gptkbp:bfsParent
|
gptkb:Regulation_A+
|
|
gptkbp:bfsLayer
|
8
|