Securities Exchange Act Of 1934

Filed Under » , , , , ,
Dictionary Says

Definition of 'Securities Exchange Act Of 1934'

The Securities Exchange Act of 1934 was created to provide governance of securities transactions on the secondary market (after issue) and regulate the exchanges and broker-dealers in order to protect the investing public.
Investopedia Says

Investopedia explains 'Securities Exchange Act Of 1934'

All companies listed on stock exchanges must follow the requirements set forth in the Securities Exchange Act of 1934. Primary requirements include registration of any securities listed on stock exchanges, disclosure, proxy solicitations and margin and audit requirements.

From this act the Securities Exchange Commission (SEC) was created. The SEC's responsibility is to enforce securities laws.

Articles Of Interest

  1.

    Series 63, Series 65 Or Series 66?

    When joining the world of investment professionals, you must take the right exams.

  2. Investigating The Securities Police

    Learn about the history of FINRA and how this organization protects investors.

  3. The SEC: A Brief History Of Regulation

    The SEC has continued to make the market a safer place and to learn from and adapt to new scandals and crises.

  4. Top 4 Most Scandalous Insider Trading Debacles

    Here we look at some of the landmark incidents of insider trading.

  5. Playing It Safe In Foreign Stock Markets

    Find out some of the lower-risk ways to invest in foreign markets.

  6. Do traders, market makers, specialists or others ever deliberately drive a stock's price down to "shake out" the last sellers?

    Many individual investors have had the experience of closing their position in a stock only to see the price rebound moments later. When this happens, it may lead the investor to believe that ...

  7. Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.

  8. Where can I find a company's annual report and its SEC filings?

    Thanks to the Internet, finding financial reports is easier than ever. Nowadays, every reputable company has an investor relations section on its website that is a wealth of information. Walt ...

  9. How does FINRA differ from the SEC?

    With all the financial organizations out there, knowing what they all do can be as complicated as knowing where to invest. The Securities and Exchange Commission (SEC) and the Financial Industry ...

  10. What happens to the fines collected by the Securities and Exchange Commission?

    When the Securities and Exchange Commission (SEC) enforces a civil action against a corporation or an individual found guilty of violating SEC regulations, there's a good chance that some sort ...
comments powered by Disqus
Marketplace
Hot Definitions

  1. Yield Elbow

    The point on the yield curve indicating the year in which the economy's highest interest rates occur. The yield elbow is the peak of the yield curve, signifying where the highest interest rates occurred.

  2. Xenocurrency

    A currency that trades in markets outside of its domestic borders.

  3. Wanton Disregard

    A standard of severe negligence. Wanton disregard is a very serious accusation that indicates that a person behaved extremely recklessly.

  4. Ultra ETF

    A class of exchange-traded funds (ETF) that employs leverage in an effort to achieve double the return of a set benchmark.

  5. Toehold Purchase

    A purchase of less than 5% of a target company's outstanding stockmade by an acquiring company. A toehold purchase of just under 5%, while not a significant stake in a firm, allows the shareholders a "toe-holds" grip on the company and its decision making.

  6. Samurai Bond

    A yen-denominated bond issued in Tokyo by a non-Japanese company and subject to Japanese regulations.
Trading Center
http://sp.fastclick.net/ad/tr/10858-64082-15546-0?mpt=14262140e04519beb2cd9af27bf7434a