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Securities regulation in the United States is the field of U.S. law that covers ... the official code citation for Section 5 of the Securities Act of 1933 is 15 U.S.C ...
Securities and Exchange Commission (SEC Zambia) ; Pensions and Insurance Authority (PIA) Zimbabwe: Reserve Bank of Zimbabwe (RBZ) ; Securities and Exchange Commission of Zimbabwe (SECZIM) ; Insurance and Pensions Commission (IPEC)
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 enacted by the United States Congress on May 27, 1933, during the Great Depression and after the stock market crash of 1929. It is an integral part of United States securities regulation.
In 2000, the SEC was reorganized, as Republic Act (RA) No. 8799, or the Securities Regulation Code, gave greater focus on the Commission’s role in developing the capital market, fostering good corporate governance and enhancing investor protection.
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] Its primary purpose is to enforce laws against market manipulation. [5] [6]: 2
The NASD was founded on September 3, 1936 as Investment Bankers Conference, Inc. [9] and, on August 7, 1939, was registered under the name National Association of Securities Dealers, Inc. [10] as a national securities association with the SEC under authority granted by the 1938 Maloney Act amendments to the Securities Exchange Act of 1934, [11] which allowed it to supervise the conduct of its ...
Registered representative (securities) Regulation A; Regulation AB; Regulation D (SEC) Regulation Fair Disclosure; Regulation NMS; Regulation S-K; Regulation S-X; SEC Rule 10b-5; SEC Rule 10b5-1; SEC Rule 17a-4
Regulation S-X and the Financial Reporting Releases (Staff Accounting Bulletins) set forth the form and content of and requirements for financial statements required to be filed as a part of (a) registration statements under the Securities Act of 1933 and (b) registration statements under section 12, [2] annual or other reports under sections 13 [3] and 15(d) [4] and proxy and information ...
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