Statements (72)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:law
|
| 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:government_agency
gptkb:security gptkb:accredited_investor asset management company insider trading affiliate data exchange prospectus tender offer private placement proxy issuer registration statement materiality material information broker-dealer public offering investment adviser beneficial owner blue sky laws control person reporting company |
| gptkbp:enforcedBy |
gptkb:Financial_Industry_Regulatory_Authority
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 |
gptkb:fraud
insider trading market manipulation |
| gptkbp:purpose |
facilitate capital formation
protect investors maintain fair markets |
| gptkbp:regulates |
securities markets
issuance of securities trading of securities |
| gptkbp:relatedTo |
class action lawsuits
criminal penalties corporate governance enforcement actions mergers and acquisitions federal securities laws proxy solicitations financial reporting civil penalties whistleblower protections disclosure requirements private placements reporting requirements registration requirements public offerings tender offers state securities laws exemptions from registration |
| gptkbp:requires |
disclosure of material information
|
| gptkbp:bfsParent |
gptkb:EB-5_Immigrant_Investor_Program
|
| gptkbp:bfsLayer |
7
|