United States securities law
GPTKB entity
Statements (63)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:law
|
| gptkbp:appliesTo |
gptkb:United_States
|
| gptkbp:covers |
mutual funds
securities exchanges self-regulatory organizations insider trading market manipulation exchange-traded funds registration of securities civil liability criminal liability disclosure requirements private placements reporting requirements anti-fraud provisions broker-dealer regulation investment adviser regulation proxy regulation public offerings registration of market participants state blue sky laws tender offers |
| gptkbp:enforcedBy |
gptkb:Department_of_Justice
gptkb:Securities_and_Exchange_Commission state securities regulators |
| gptkbp:established |
1933
|
| gptkbp:governs |
broker-dealers
investment advisers investors mutual funds public companies securities exchanges self-regulatory organizations private companies private placements issuers of securities public offerings |
| https://www.w3.org/2000/01/rdf-schema#label |
United States securities law
|
| gptkbp:includes |
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 gptkb:Jumpstart_Our_Business_Startups_Act |
| gptkbp:notableCase |
gptkb:Basic_Inc._v._Levinson
gptkb:Chiarella_v._United_States gptkb:Dirks_v._SEC gptkb:SEC_v._W.J._Howey_Co. gptkb:United_States_v._O'Hagan |
| gptkbp:purpose |
facilitate capital formation
protect investors maintain fair markets |
| gptkbp:regulates |
securities
|
| gptkbp:relatedTo |
gptkb:United_States_federal_law
gptkb:legislation gptkb:state_order corporate law banking law investment law commodities regulation |
| gptkbp:bfsParent |
gptkb:15_U.S.C._§_77a_et_seq.
|
| gptkbp:bfsLayer |
5
|