Section 4
Market Regulation
Book
Version 3
By Boundless
By Boundless
Boundless Finance
Finance
by Boundless
5 concepts
Securities Act of 1933
The Securities Act of 1933 ensures investors receive complete and accurate information before they invest.
Securities Exchange Act of 1934
The Securities Exchange Act of 1934 is a law governing the secondary trading of securities, financial markets and their participants.
Securities Acts Amendments of 1975
The 1975 amendments are to establish a national market system for the nationwide clearance and settlement of securities transactions.
Sarbanes–Oxley Act of 2002
The Sarbanes–Oxley Act is to set new or enhanced standards for all U.S. public company boards, management, and public accounting firms.
Global Research Settlement
The Global Settlement was an enforcement agreement to address issues of conflict of interest within the SEC and other big investment companies.