The Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or 1934 Act) (Pub. L.Tooltip Public Law (United States) 73–291, 48 Stat. 881...
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Crash of 1929. The primary purpose of the SEC is to enforce the law against market manipulation.: 2 In addition to the Securities Exchange Act of 1934, which...
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The Securities Act of 1933, also known as the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, and the '33 Act, was...
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with the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and extensive rules issued by the U.S. Securities and Exchange Commission;...
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Statements of Income". Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934. Form 20-F (Report). U.S. Securities and Exchange Commission...
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anti-bribery purpose, the FCPA amends the Securities Exchange Act of 1934 to require all companies with securities listed in the U.S. to meet certain accounting...
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Investment company (category Types of business entity)
holding, managing and investing securities. These companies in the United States are regulated by the U.S. Securities and Exchange Commission and must be registered...
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The Williams Act (USA) refers to 1968 amendments to the Securities Exchange Act of 1934 enacted in 1968 regarding tender offers. The legislation was proposed...
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constitutionality of federal legislation. The Securities Exchange Act of 1934 is a law governing the secondary trading of securities (stocks, bonds, and...
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criminal liability. The SEC was created by the Securities Exchange Act of 1934 to enforce the Securities Act of 1933. The SEC oversees several important organizations:...
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isotope of boron A Mazda Wankel engine A Toyota B engine Yavarum Nalam or 13B, an Indian horror film Section 13b of the Securities Exchange Act of 1934 B13...
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S. Securities and Exchange Commission (SEC), which has made various regulations under the act. Section 211 of The Securities Exchange Act of 1934 mandated...
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arising under the securities laws, including the Securities Exchange Act of 1934 and Rule 10b-5. Amends the Securities Exchange Act of 1934 to declare that...
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9(a)(2) of the Securities Exchange Act of 1934, in the European Union under Article 12 of the Market Abuse Regulation, in Australia under Section 1041A of the...
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Form 10-Q (redirect from Securities and Exchange Commission Form 10-Q)
federal Securities and Exchange Commission, to be filed by publicly traded corporations. Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934...
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financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies, certain insiders, and broker-dealers...
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owner of more than 10 percent of a class of a particular company's equity securities registered under Section 12 of the Securities Exchange Act of 1934 must...
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Naked short selling (category Wikipedia articles in need of updating from July 2020)
inherent in naked short sales threatened market orderliness. The Securities Exchange Act of 1934 stipulates a settlement period up to two business days before...
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securities class actions that allege violations of the federal securities laws under Section 10(b) and 20(a) of the Securities Exchange Act of 1934 amounts...
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was created by the Section 15B of the Securities Exchange Act of 1934 (as amended by the Securities Acts Amendments of 1975, Pub. L.Tooltip Public Law...
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be filed by public companies with the SEC pursuant to the Securities Exchange Act of 1934, as amended. Academic researchers make this report metadata...
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companies that have been required to report under the Securities Exchange Act of 1934 for a minimum of twelve months and have also timely filed all required...
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Pecora Commission (category Reports of the United States government)
passed the Glass–Steagall Banking Act of 1933, the Securities Act of 1933, and the Securities Exchange Act of 1934. Following the 1929 Wall Street Crash...
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States) and are subject to securities laws (such as the Investment Company Act of 1940 and the Securities Exchange Act of 1934 in the United States). Closed-end...
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trading privileges securities. The Consolidated Tape Association (CTA) Plan oversees the SIP for securities listed on all other exchanges, including the New...
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managers follow the limitations detailed in Section 28(e) of the Securities Exchange Act of 1934. In particular, if soft dollar arrangements are entered...
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Chris Cleverly (category British people of Sierra Leonean descent)
November 13, 2023" (PDF). Securities and Exchange Commission. SEC. Retrieved 2 January 2024. "SECURITIES EXCHANGE ACT OF 1934 Release No. 34-98921 / November...
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Sections 9(a)(2) and 10(b) of the Securities Exchange Act of 1934. Companies typically have two uses for profits. Firstly, some part of profits can be distributed...
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section 14(a) of the Securities Exchange Act of 1934 (15 U.S.C. § 78n(a)) H.R. 4173, § 972; amending the Securities Exchange Act of 1934 (15 U.S.C. ch...
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SEC v. Jarkesy (redirect from Jarkesy v. Securities and Exchange Commission)
Securities and Exchange Commission v. Jarkesy (Docket No. 22-859) was a case before the Supreme Court of the United States. In May 2022, the Court of...
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