Search results
Results From The WOW.Com Content Network
The 1933 Act was the first major federal legislation to regulate the offer and sale of securities. [1] Prior to the Act, regulation of securities was chiefly governed by state laws, commonly referred to as blue sky laws. When Congress enacted the 1933 Act, it left existing state blue sky securities laws in place.
Securities regulation in the United States is the field of U.S. law that covers transactions and other dealings with securities. The term is usually understood to include both federal and state-level regulation by governmental regulatory agencies, but sometimes may also encompass listing requirements of exchanges like the New York Stock ...
The U.S. Securities and Exchange Commission ( SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street Crash of 1929. [ 2][ 3][ 4] The primary purpose of the SEC is to enforce the law against market manipulation. [ 5][ 6]: 2. In addition to the Securities Exchange Act of 1934, which ...
The Investment Company Act of 1940 (commonly referred to as the '40 Act) is an act of Congress which regulates investment funds. It was passed as a United States Public Law ( Pub. L. 76–768) on August 22, 1940, and is codified at 15 U.S.C. §§ 80a-1 – 80a-64. Along with the Securities Exchange Act of 1934, the Investment Advisers Act of ...
Investment Advisers Act of 1940. The Investment Advisers Act of 1940, codified at 15 U.S.C. § 80b-1 through 15 U.S.C. § 80b-21, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law. Passing unanimously in both the House and Senate, [1] it ...
Registered investment adviser. A registered investment adviser ( RIA) is a firm that is an investment adviser in the United States, registered as such with the Securities and Exchange Commission (SEC) or a state's securities agency. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely ...
The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly. As of October 2023, FINRA oversaw 3,394 brokerage firms, 149,887 branch offices ...
Uniform Securities Agent State Law Exam. United States person. Uptick rule. Categories: Financial regulation in the United States. United States law by issue. Securities (finance) United States business law.