The Securities Exchange Act 1934

The Securities Exchange Act 1934
The Securities Exchange Act 1934

The Securities Exchange Act 1934

The Securities Exchange Act of 1934 (SEA) was enacted to regulate securities transactions after they were issued, assuring better financial openness and accuracy, as well as reduced fraud and manipulation.

The Securities and Exchange Commission (SEC), the SEA’s regulatory arm, was established by the SEA. The Securities and Exchange Commission (SEC) regulates securities, including stocks, bonds, and over-the-counter securities, as well as markets and financial professionals such as brokers, dealers, and investment advisors. It also keeps track of the financial disclosures that publicly traded corporations must provide.

The Securities Exchange Act of 1934 outlines the criteria that must be followed by all companies listed on stock exchanges. Registration of any securities listed on stock exchanges, disclosure, proxy solicitations, and margin and audit requirements are among the most important requirements. The goal of these standards is to create a fair and secure environment for investors.

SEE ALSO:

Wall Street Regulation (1933);

The Sarbanes-Oxley Act (2002);

Wall Street Reform (2010).

SOURCES:

The Securities Exchange Act 1934

The Law Book: From Hammurabi to the International Criminal Court, 250 Milestones in the History of Law (Sterling Milestones) Hardcover – Illustrated, 22 Oct. 2015, English edition by Michael H. Roffer (Autor)

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