Statements (101)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:law
gptkb:legislation |
| gptkbp:alternativeName |
SEC_regulation
SEC_rule Securities_regulation U.S._Securities_Regulation U.S._Securities_regulation securities_depository securities_litigation securities_regulator |
| gptkbp:appliesTo |
gptkb:United_States
broker-dealers investment advisers investors public companies private companies securities markets investment companies issuers of securities financial intermediaries |
| gptkbp:enables |
gptkb:crime
civil penalties administrative proceedings SEC enforcement actions private rights of action |
| gptkbp:enforcedBy |
gptkb:Commodity_Futures_Trading_Commission
gptkb:Financial_Industry_Regulatory_Authority gptkb:U.S._Securities_and_Exchange_Commission state securities regulators |
| gptkbp:establishes |
reporting requirements
auditor independence rules corporate governance standards |
| gptkbp:governedBy |
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:includes |
gptkb:Securities_Act_of_1933
gptkb:Securities_Exchange_Act_of_1934 gptkb:Dodd-Frank_Act gptkb:Sarbanes-Oxley_Act federal securities laws registration of investment advisers registration of investment companies periodic reporting disclosure requirements reporting requirements registration requirements registration of exchanges anti-fraud provisions state blue sky laws registration of broker-dealers proxy rules corporate governance rules tender offer rules |
| gptkbp:influencedBy |
gptkb:Great_Depression
|
| gptkbp:originatedIn |
1930s
|
| gptkbp:oversees |
gptkb:U.S._Congress
|
| gptkbp:prohibits |
gptkb:fraud
insider trading market manipulation fraudulent activities |
| gptkbp:purpose |
facilitate capital formation
maintain fair, orderly, and efficient markets protect investors maintain fair markets |
| gptkbp:regulates |
gptkb:U.S._Securities_and_Exchange_Commission
broker-dealers investment advisers securities markets private placements public offerings securities markets in the United States |
| gptkbp:relatedTo |
gptkb:fraud
securities exchanges self-regulatory organizations corporate governance enforcement actions mergers and acquisitions market manipulation financial reporting securities regulation whistleblower protections disclosure requirements private placements auditor independence proxy regulation public offerings corporate disclosure public company accounting oversight Blue Sky Laws |
| gptkbp:requires |
registration of securities
disclosure of material information periodic financial disclosures registration of securities offerings |
| gptkbp:subject |
judicial interpretation by U.S. courts
|
| gptkbp:bfsParent |
gptkb:Securities_Act_of_1933
gptkb:Securities_Exchange_Act_of_1934 |
| gptkbp:bfsLayer |
4
|