SUMMARY: Pursuant to Section 15F(b)(6) of the Securities Exchange Act of 1934 (“Exchange Act”), as added by Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commission”) is adopting Rule of … (h)(1)(A)(iii), was in the original “the Securities Exchange Act of 1934 (15 U.S.C. § 78a et seq.) For complete classification of this Act to the Code, see section 78a of this title and Tables. 106-554, 114 Stat. For a complete list of national securities exchanges and recently approved exchange applications please check here. The Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or 1934 Act) (Pub.L. 2: Section 6(h)(6) of the Exchange Act provides that options on security futures ("security futures products") may not be traded until three years after the enactment of the CFMA and the determination jointly by the Securities and Exchange Commission and Commodity Futures Trading Commission to permit options on such futures. For complete classification of this Act to the Code, see Short Title note set out under section 7201 of this title and Tables. A company issuing securities must either register or perfect and exemption from registration. The term “ Commission ” means the Securities and Exchange Commission established by section 4 … 78a et seq.)”. 2. 404, 48 Stat. When must a company register with the Securities Exchange Commission pursuant to the 34 Act? This Act may be cited as the " Securities Exchange Act of 1934." is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America. Securities Act of 1933. The Securities Exchange Act of 1934, referred to in subsec. This chapter, referred to in subsec. 1: P.L. (a)(47), is act June 6, 1934, ch. 2763 (2000). 881, enacted June 6, 1934, codified at 15 U.S.C. 73–291, 48 Stat. The Securities Acts and General Regulations. Securities Law—Exchange Liability Under Section 6(b) of the Securities Exchange Act of 1934—Hughes v. Dempsey-Tegeler & Co., Inc.' Plaintiff, Reuben P. Hughes, a businessman and private in-vestor, brought suit against both Dempsey-Tegeler & Co., Inc. (Dempsey) a broker-dealer and … Section 5 of the '34 Act 0 provides impetus for registration by prohibiting use of the facilities of an exchange for the purpose of ef-fecting a transaction in a security unless the exchange is registered under section 6.11 Section 6… General rules and regulations promulgated under the Securities Exchange Act of 1934 (17 CFR Part 240) NECESSITY FOR REGULATION AS PROVIDED IN THIS TITLE SEC. SECTION 1. 881, which is classified generally to this chapter (§ 78a et seq.). This chapter, referred to in subsec. General rules and regulations promulgated under the Securities Act of 1933 (17 CFR Part 230) Forms prescribed under the Securities Act of 1933; Securities Exchange Act of 1934. The company becomes known as a reporting company. exchange by filing an application with the Securities Exchange Commis-sion (SEC).' A "national securities exchange" is a securities exchange that has registered with the SEC under Section 6 of the Securities Exchange Act of 1934. There are, however, other situations that subject a company to SEC public reporting requirements.
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