Section 15 of the Securities Exchange Act of 1934
E512107
Section 15 of the Securities Exchange Act of 1934 is the core U.S. federal provision that requires broker-dealers to register with the Securities and Exchange Commission and comply with associated regulatory obligations.
All labels observed (1)
| Label | Occurrences |
|---|---|
| Section 15 of the Securities Exchange Act of 1934 canonical | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T5340762 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Section 15 of the Securities Exchange Act of 1934 Context triple: [Form BD, legalBasis, Section 15 of the Securities Exchange Act of 1934]
-
A.
Section 10(b) of the Securities Exchange Act of 1934
Section 10(b) of the Securities Exchange Act of 1934 is a key U.S. federal securities law provision that broadly prohibits manipulative and deceptive practices in connection with the purchase or sale of securities.
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B.
SEC rule under the Securities Exchange Act of 1934
Regulation SCI is a U.S. Securities and Exchange Commission regulation that imposes technology, systems integrity, and cybersecurity requirements on key market participants to promote the stability and resilience of the securities markets.
-
C.
U.S. Securities Exchange Act of 1934
The U.S. Securities Exchange Act of 1934 is a landmark federal law that created the Securities and Exchange Commission (SEC) and established comprehensive regulation of secondary trading of securities in the United States to restore investor confidence and prevent market abuses.
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D.
Section 4(a)(2) of the Securities Act of 1933
Section 4(a)(2) of the Securities Act of 1933 is the statutory exemption that permits issuers to offer and sell securities in private placements without registering them with the SEC, provided the transactions do not involve a public offering.
-
E.
Section 4(a)(6) of the Securities Act of 1933
Section 4(a)(6) of the Securities Act of 1933 is the statutory exemption that permits certain small companies to raise limited amounts of capital from the general public through regulated crowdfunding without registering their securities offerings with the SEC.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Section 15 of the Securities Exchange Act of 1934 Target entity description: Section 15 of the Securities Exchange Act of 1934 is the core U.S. federal provision that requires broker-dealers to register with the Securities and Exchange Commission and comply with associated regulatory obligations.
-
A.
Section 10(b) of the Securities Exchange Act of 1934
Section 10(b) of the Securities Exchange Act of 1934 is a key U.S. federal securities law provision that broadly prohibits manipulative and deceptive practices in connection with the purchase or sale of securities.
-
B.
SEC rule under the Securities Exchange Act of 1934
Regulation SCI is a U.S. Securities and Exchange Commission regulation that imposes technology, systems integrity, and cybersecurity requirements on key market participants to promote the stability and resilience of the securities markets.
-
C.
U.S. Securities Exchange Act of 1934
The U.S. Securities Exchange Act of 1934 is a landmark federal law that created the Securities and Exchange Commission (SEC) and established comprehensive regulation of secondary trading of securities in the United States to restore investor confidence and prevent market abuses.
-
D.
Section 4(a)(2) of the Securities Act of 1933
Section 4(a)(2) of the Securities Act of 1933 is the statutory exemption that permits issuers to offer and sell securities in private placements without registering them with the SEC, provided the transactions do not involve a public offering.
-
E.
Section 4(a)(6) of the Securities Act of 1933
Section 4(a)(6) of the Securities Act of 1933 is the statutory exemption that permits certain small companies to raise limited amounts of capital from the general public through regulated crowdfunding without registering their securities offerings with the SEC.
- F. None of above. chosen
Statements (51)
| Predicate | Object |
|---|---|
| instanceOf |
U.S. federal securities law provision
ⓘ
statutory provision ⓘ |
| amendedBy |
Dodd–Frank Wall Street Reform and Consumer Protection Act
NERFINISHED
ⓘ
Sarbanes–Oxley Act of 2002 NERFINISHED ⓘ |
| appliesTo | broker-dealers ⓘ |
| authorizes |
SEC to adopt rules to prevent fraudulent, deceptive, or manipulative acts or practices by brokers and dealers
ⓘ
SEC to deny, suspend, or revoke broker-dealer registration under specified conditions ⓘ SEC to impose sanctions on broker-dealers and associated persons ⓘ |
| codifiedAt | 15 U.S.C. § 78o ⓘ |
| contains |
Section 15(a)
ⓘ
Section 15(b) ⓘ Section 15(c) ⓘ Section 15(g) ⓘ Section 15(h) ⓘ Section 15(i) ⓘ Section 15(j) ⓘ Section 15(k) ⓘ Section 15(l) ⓘ Section 15(m) ⓘ Section 15(n) ⓘ Section 15(o) ⓘ Section 15(p) ⓘ Section 15(q) ⓘ Section 15(r) ⓘ Section 15(s) ⓘ Section 15(t) ⓘ Section 15(u) ⓘ Section 15(v) ⓘ Section 15(w) ⓘ Section 15(x) ⓘ Section 15(y) ⓘ Section 15(z) ⓘ |
| effectiveDate | 1934 ⓘ |
| enforcedBy | U.S. Securities and Exchange Commission NERFINISHED ⓘ |
| governs |
registration of brokers
ⓘ
registration of dealers ⓘ registration of government securities brokers and dealers ⓘ registration of municipal securities dealers ⓘ |
| jurisdiction |
United States of America
ⓘ
surface form:
United States
|
| legalBasisFor | SEC regulation of broker-dealers ⓘ |
| partOf | Securities Exchange Act of 1934 NERFINISHED ⓘ |
| primaryPurpose | to regulate broker-dealer registration and conduct in U.S. securities markets ⓘ |
| prohibits |
fraudulent, deceptive, or manipulative acts or practices by brokers and dealers
ⓘ
unregistered broker-dealers from effecting securities transactions using interstate commerce ⓘ |
| requires |
broker-dealers to become members of a registered securities association or a national securities exchange, subject to exceptions
ⓘ
broker-dealers to comply with SEC rules and regulations ⓘ broker-dealers to comply with financial responsibility rules adopted by the SEC ⓘ broker-dealers to file reports with the SEC as required by SEC rules ⓘ broker-dealers to make and keep certain books and records as prescribed by the SEC ⓘ broker-dealers to register with the SEC before using interstate commerce to effect securities transactions ⓘ registration of broker-dealers with the SEC ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Section 15 of the Securities Exchange Act of 1934 Description of subject: Section 15 of the Securities Exchange Act of 1934 is the core U.S. federal provision that requires broker-dealers to register with the Securities and Exchange Commission and comply with associated regulatory obligations.
Referenced by (1)
Full triples — surface form annotated when it differs from this entity's canonical label.