|
gptkbp:instanceOf
|
gptkb:law
|
|
gptkbp:appliesTo
|
broker-dealers
investment advisers
public companies
investment companies
|
|
gptkbp:enables
|
SEC enforcement actions
private right of action for investors
criminal prosecution for violations
|
|
gptkbp:enforcedBy
|
gptkb:U.S._Securities_and_Exchange_Commission
state securities regulators
|
|
https://www.w3.org/2000/01/rdf-schema#label
|
U.S. securities law
|
|
gptkbp:includes
|
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
|
|
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 markets in the United States
|
|
gptkbp:relatedTo
|
gptkb:Financial_Industry_Regulatory_Authority
gptkb:NASDAQ
gptkb:New_York_Stock_Exchange
self-regulatory organizations
Blue Sky Laws
|
|
gptkbp:requires
|
disclosure of material information
|
|
gptkbp:bfsParent
|
gptkb:SEC_v._Ripple_Labs_Inc.
|
|
gptkbp:bfsLayer
|
7
|