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Securities Exchange Act Of 1934
The Securities Exchange Act of 1934
Securities Exchange Act of 1934
(also called the Exchange Act, '34 Act, or 1934 Act) (Pub.L. 73–291, 48 Stat. 881, enacted June 6, 1934, codified at 15 U.S.C. § 78a et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America.[1] A landmark of wide-ranging legislation, the Act of '34 and related statutes form the basis of regulation of the financial markets and their participants in the United States. The 1934 Act also established the Securities and Exchange Commission (SEC),[2] the agency primarily responsible for enforcement of United States federal securities law. Companies raise billions of dollars by issuing securities in what is known as the primary market
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Civil Action
A lawsuit (or suit in law[a]) is "a vernacular term for a suit, action, or cause instituted or depending between two private persons in the courts of law."[1] A lawsuit is any proceeding by a party or parties against another in a court of law.[2] Sometimes, the term "lawsuit" is in reference to a civil action brought in a court of law in which a plaintiff, a party who claims to have incurred loss as a result of a defendant's actions, demands a legal or equitable remedy. The defendant is required to respond to the plaintiff's complaint. If the plaintiff is successful, judgment is in the plaintiff's favor, and a variety of court orders may be issued to enforce a right, award damages, or impose a temporary or permanent injunction to prevent an act or compel an act. A declaratory judgment may be issued to prevent future legal disputes. A lawsuit may involve dispute resolution of private law issues between individuals, business entities or non-profit organizations
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NASDAQ
The Nasdaq Stock
Stock
Market (/ˈnæzˌdæk/ ( listen)) is an American stock exchange
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United States Director Of National Intelligence
The Director of National Intelligence
Director of National Intelligence
(DNI) is the United States government cabinet-level official—subject to the authority, direction, and control of the President—required by the Intelligence Reform and Terrorism Prevention Act of 2004 to:serve as head of the seventeen-member United States
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John Negroponte
John Dimitri Negroponte (/ˌnɛɡroʊˈpɒnti/; born July 21, 1939) is an American diplomat. He is currently a J.B. and Maurice C. Shapiro Professor of International Affairs at the George Washington University.[1] Prior to this appointment, he served as a research fellow and lecturer in international affairs at Yale University's Jackson Institute for Global Affairs, United States Deputy Secretary of State, and the first ever Director of National Intelligence. Negroponte served in the United States Foreign Service
United States Foreign Service
from 1960 to 1997. From 1981 to 1996, he had tours of duty as United States ambassador in Honduras, Mexico, and the Philippines. After leaving the Foreign Service, he subsequently served in the Bush Administration as U.S. permanent representative to the United Nations
United Nations
from 2001 to 2004, and was ambassador to Iraq
Iraq
from June 2004 to April 2005
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Federal Register
The Federal Register
Federal Register
(FR or sometimes Fed. Reg.) is the official journal of the federal government of the United States that contains government agency rules, proposed rules, and public notices.[1] It is published daily, except on federal holidays. The final rules promulgated by a federal agency and published in the Federal Register are ultimately reorganized by topic or subject matter and codified in the Code of Federal Regulations
Code of Federal Regulations
(CFR), which is updated annually. The Federal Register
Federal Register
is compiled by the Office of the Federal Register (within the National Archives and Records Administration) and is printed by the Government Publishing Office
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Commodity Futures Trading Commission
The U.S. Commodity
Commodity
Futures Trading Commission (CFTC) is an independent agency of the US government created in 1974, that regulates futures and option markets. The Commodities
Commodities
Exchange Act ("CEA"), 7 U.S.C. § 1 et seq., prohibits fraudulent conduct in the trading of futures contracts
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Securities Commission
A securities commission is a government department or agency responsible for financial regulation of securities products within a particular country. Its powers and responsibilities vary greatly from country to country, but generally cover the setting of rules as well as enforcing them for financial intermediaries and stock exchanges.Contents1 History 2 Structure2.1 Naming 2.2 Common features 2.3 International cooperation3 Agencies 4 See also 5 ReferencesHistory[edit] As long as there have been securities there have been regulations. However, in the early days this consisted primarily of self-regulated groups or societies
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Chicago Stock Exchange
The Chicago
Chicago
Stock Exchange (CHX) is a stock exchange in Chicago, Illinois. The exchange is a national securities exchange and Self-Regulatory Organization, which operates under the oversight of the U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission
(SEC). The Chicago
Chicago
Stock Exchange is currently located at 440 South LaSalle Street
LaSalle Street
(FOUR40). Founded on March 21, 1882, in 1949, the Chicago
Chicago
Stock Exchange merged with the regional stock exchanges St. Louis Stock Exchange, Cleveland Stock Exchange and Minneapolis-St. Paul Stock Exchange to form the Midwest Stock Exchange
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United States Statutes At Large
The United States Statutes at Large, commonly referred to as the Statutes at Large and abbreviated Stat., are an official record of Acts of Congress and concurrent resolutions passed by the United States Congress. Each act and resolution of Congress is originally published as a slip law, which is classified as either public law (abbreviated Pub.L.) or private law (Pvt.L.), and designated and numbered accordingly. At the end of a Congressional session, the statutes enacted during that session are compiled into bound books, known as "session law" publications. The session law publication for U.S. Federal statutes is called the United States Statutes at Large. In that publication, the public laws and private laws are numbered and organised in chronological order.[1] U.S
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Regulation FD
Regulation Fair Disclosure,[1] also commonly referred to as Regulation FD or Reg FD, is a regulation that was promulgated by the U.S. Securities and Exchange Commission (SEC) in August 2000.[2] The rule mandates that all publicly traded companies must disclose material information to all investors at the same time. The regulation sought to stamp out selective disclosure, in which some investors (often large institutional investors) received market moving information before others (often smaller, individual investors). Regulation FD fundamentally changed how companies communicate with investors by bringing more transparency and more frequent and timely communications, perhaps more than any other regulation in the history of the SEC. On April 2, 2013, the Securities and Exchange Commission said companies can use social media to disseminate information if certain requirements are met
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Financial Regulation
Financial regulation
Financial regulation
is a form of regulation or supervision, which subjects financial institutions to certain requirements, restrictions and guidelines, aiming to maintain the integrity of the financial system. This may be handled by either a government or non-government organization
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List Of Financial Regulatory Authorities By Country
The following is an incomplete list of financial regulatory authorities by country.[1]Contents: A-B C-D E-I J-L M-R S-T U-ZList[edit] A-B[edit] Afghanistan
Afghanistan
- Da Afghanistan
Afghanistan

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Stock Exchange
A stock exchange or securities exchange is an exchange (or bourse)[note 1] where stock brokers and traders can buy and sell securities, such as shares of stock and bonds and other financial instruments. Stock
Stock
exchanges may also provide facilities for the issue and redemption of such securities and instruments and capital events including the payment of income and dividends.[citation needed] Securities traded on a stock exchange include stock issued by listed companies, unit trusts, derivatives, pooled investment products and bonds. Stock
Stock
exchanges often function as "continuous auction" markets with buyers and sellers consummating transactions at a central location such as the floor of the exchange.[6] To be able to trade a security on a certain stock exchange, the security must be listed there
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Regulation D (SEC)
In the United States
United States
under the Securities
Securities
Act of 1933, any offer to sell securities must either be registered with the United States Securities
Securities
and Exchange Commission (SEC) or meet certain qualifications to exempt them from such registration. Regulation (or Reg D) contains the rules providing exemptions from the registration requirements, allowing some companies to offer and sell their securities without having to register the securities with the SEC.[1] A Regulation D offering is intended to make access to the capital markets possible for small companies that could not otherwise bear the costs of a normal SEC registration. Reg D may also refer to an investment strategy, mostly associated with hedge funds, based upon the same regulation. The regulation is found under Title 17 of the Code of Federal Regulations, part 230, Sections 501 through 508. The legal citation is 17 C.F.R
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NYSE American
NYSE American, formerly known as the American Stock Exchange
American Stock Exchange
(AMEX), and more recently as NYSE MKT, is an American stock exchange situated in New York City, New York. AMEX was previously a mutual organization, owned by its members. Until 1953, it was known as the New York Curb Exchange.[1] NYSE Euronext
NYSE Euronext
acquired AMEX on October 1, 2008,[2] with AMEX integrated with the Alternext European small-cap exchange and renamed the NYSE Alternext U.S.[3] In March 2009, NYSE Alternext U.S. was changed to NYSE Amex Equities
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