securities exchange act of 1934 การใช้

• The subsequent Securities Exchange Act of 1934 ( ) regulates sales of securities in the secondary market.
• The information charges that Blech violated Section 10 ( b ) of the Securities Exchange Act of 1934.
• Insider-trading cases were brought under the general antifraud provision of the Securities Exchange Act of 1934.
• The laws that established this were the Securities Act of 1933 and the Securities Exchange Act of 1934.
• Plaze said the duty is comparable to that imposed upon broker-dealers in the Securities Exchange Act of 1934.
• Three counts each of the fraud provisions of The Securities Act of 1933 and The Securities Exchange Act of 1934.
• It is oft forgotten that lying to auditors is a criminally chargeable offense under the Securities Exchange Act of 1934.
• On 14 April 2009, a court permanently enjoined him from violating sections of the Securities Exchange Act of 1934.
• Brokers are subject to the Securities Exchange Act of 1934, a different regulatory regime than the one for investment advisers.
• The Securities Exchange Act of 1934 is also known as " the Exchange Act " or " the 1934 Act ".
• Byrd sued Dean Witter in federal court, alleging violations of both the Securities Exchange Act of 1934 and applicable California law.
• The Securities Act of 1933 and the Securities Exchange Act of 1934, for example, initiated a new specialization in the law.
• They consent to orders that they caused New Jersey Resources to not fully comply with a statute under the Securities Exchange Act of 1934.
• The principal federal regulatory authority the Securities and Exchange Commission ( SEC )  was established by the Federal Securities Exchange Act of 1934.
• The Securities Exchange Act of 1934 requires all companies under SEC jurisdiction to file an annual audit and have quarterly review of financial statements.
• The Securities Exchange Act of 1934 requires employers to properly supervise and discharge employees as part of its job of protecting investors, Lindsey wrote.
• The new rule was approved by the SEC in August as an addition to the regulations that fall under the Securities Exchange Act of 1934.
• (triangle ( The SEC " lacked statutory authority to promulgate Regulation FD in the first place " under the Securities Exchange Act of 1934.
• Congress passed the Securities Exchange Act of 1934, and created a new federal agency, the Securities and Exchange Commission, to enforce those laws.
• The following year, Congress passed the Securities Exchange Act of 1934, to regulate the secondary market ( general-public ) trading of securities.