’34 Act

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The ’34 Act is a foundational U.S. federal securities law that regulates secondary trading of securities, mandates ongoing disclosure by public companies, and established the Securities and Exchange Commission (SEC).

All labels observed (1)

Label Occurrences
’34 Act canonical 1

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Statements (48)

Predicate Object
instanceOf United States federal statute
securities law
abbreviation U.S. Securities Exchange Act of 1934
surface form: Exchange Act
aimsTo maintain fair and orderly markets
promote market transparency
protect investors
appliesTo issuers meeting certain asset and shareholder thresholds
issuers with securities registered on national securities exchanges
authorizes SEC enforcement actions
SEC rulemaking
civil liability for securities fraud
citation 15 U.S.C. § 78a et seq.
complements U.S. Securities Act of 1933
surface form: Securities Act of 1933
containsRule Rule 10b-5
containsSection Section 10(b)
Section 13(a)
Section 13(d)
Section 14(a)
Section 16
Section 21D
country United States of America
surface form: United States
empowers Securities and Exchange Commission
enactedBy United States Congress
establishedAgency Securities and Exchange Commission
focus post-issuance trading of securities
fullName U.S. Securities Exchange Act of 1934
surface form: Securities Exchange Act of 1934
governs broker-dealers
clearing agencies
national securities exchanges
securities associations
transfer agents
jurisdiction federal law of the United States
language English
partOf New Deal
surface form: New Deal financial reforms
primaryPurpose mandate ongoing disclosure by public companies
prevent fraud and manipulation in securities markets
regulate secondary trading of securities
regulates secondary trading of bonds
secondary trading of other securities
secondary trading of stocks
requires Form 10-K annual reports
Form 10-Q quarterly reports
SEC filings
surface form: Form 8-K current reports

insider trading disclosures
periodic reporting by public companies
proxy statement disclosures
signedBy President Franklin D. Roosevelt
surface form: Franklin D. Roosevelt
yearEnacted 1934

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Referenced by (1)

Full triples — surface form annotated when it differs from this entity's canonical label.