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AN ACT To provide for the regulation of securities exchanges and of over-the- counter markets operating in interstate and foreign commerce and through the mails, to prevent inequitable and unfair practices on such exchanges and markets, and for other purposes.
Legislation Section 13 Under Section 13 of the United States Securities Exchange Act of 1934, an investment manager may have an obligation to file reports with the SEC on Schedule 13D, Schedule 13G, Form 13F, and/or Form 13H. Reporting obligations for each type of filing are different but are not mutually exclusive.
The Securities Act of 1933 has two basic objectives: To require that investors receive financial and other docHub information concerning securities being offered for public sale; and. To prohibit deceit, misrepresentations, and other fraud in the sale of securities.
Why Regulate Securities? The development of federal securities law was spurred by the stock market crash of 1929, and the resulting Great Depression.
The three core objectives of securities regulation are: The protection of investors; Ensuring that markets are fair, efficient and transparent; The reduction of systemic risk. The three objectives are closely related and, in some respects, overlap.
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The Securities Act serves the dual purpose of ensuring that issuers selling securities to the public disclose material information, and that any securities transactions are not based on fraudulent information or practices.
The Securities Exchange Act of 1934 (SEA) was created to govern securities transactions on the secondary market, after issue, ensuring greater financial transparency and accuracy and less fraud or manipulation.
Section 14(a) of the Securities Exchange Act of 1934 (the Exchange Act ) prohibits material misrepresentations and omissions in proxy statements sent to stockholders of registered securities.
What is the difference between the 1933 Securities Act and the 1934 Securities Act? The key difference is that the SEC Act of 1933 focuses on guidance for newly issued securities while the SEC Act of 1934 provides guidance for actively traded securities.
The Securities Act serves the dual purpose of ensuring that issuers selling securities to the public disclose material information, and that any securities transactions are not based on fraudulent information or practices.

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