Securities Exchange Act of 1934

Article

Name

Securities Exchange Act of 1934

Types

Authors

Cornell University

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Claims from

Objective of Securities Exchange Act of 1934 is to oversee secondary market participants

Publisher

Cornell University

Quotes from

SEC's Regulatory Responsibilities The SEC is also responsible for registering and establishing rules regulating the conduct of market participants, stock exchanges, and self-regulatory organizations (SROs). Under the Exchange Act, the SEC can sanction, fine, or otherwise discipline market participants who violate federal securities laws. The SEC can also issue rules pursuant to specific statutory provisions, to help effectuate those provisions. Under the Exchange Act, market participants are subject to direct SEC regulation.

Web URL

https://www.law.cornell.edu/wex/securities_exchange_act_of_1934

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Objective of Securities Exchange Act of 1934 is to oversee secondary market participants

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SEC's Regulatory Responsibilities The SEC is also responsible for registering and establishing rules regulating the conduct of market participants, stock exchanges, and self-regulatory organizations (SROs). Under the Exchange Act, the SEC can sanction, fine, or otherwise discipline market participants who violate federal securities laws. The SEC can also issue rules pursuant to specific statutory provisions, to help effectuate those provisions. Under the Exchange Act, market participants are subject to direct SEC regulation.

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