Federal (United States) · Statute compilation
Act of June 6, 1934 — SECURITIES EXCHANGE ACT OF 1934
79 sections
79 sections
- Act of June 6, 1934, tit. I, sec. 1 (as amended)short title
- Act of June 6, 1934, tit. I, sec. 2 (as amended)necessity for regulation as provided in this title
- Act of June 6, 1934, tit. I, sec. 3 (as amended)definitions and application of title
- Act of June 6, 1934, tit. I, sec. 3A (as amended)SWAP AGREEMENTS.
- Act of June 6, 1934, tit. I, sec. 3B (as amended)DERIVATIVES.
- Act of June 6, 1934, tit. I, sec. 3C (as amended)CLEARING FOR SECURITY-BASED SWAPS.
- Act of June 6, 1934, tit. I, sec. 3D (as amended)SWAP EXECUTION FACILITIES.
- Act of June 6, 1934, tit. I, sec. 3E (as amended)SEGREGATION OF ASSETS HELD AS COLLATERAL IN SECURITY-BASED SWAP TRANSACTIONS.
- Act of June 6, 1934, tit. I, sec. 4 (as amended)and exchange commission
- Act of June 6, 1934, tit. I, sec. 4A (as amended)delegation of functions by commission
- Act of June 6, 1934, tit. I, sec. 4B (as amended)transfer of functions with respect to assignment of personnel to chairman
- Act of June 6, 1934, tit. I, sec. 4C (as amended)APPEARANCE AND PRACTICE BEFORE THE COMMISSION.
- Act of June 6, 1934, tit. I, sec. 4D (as amended)ADDITIONAL DUTIES OF INSPECTOR GENERAL.
- Act of June 6, 1934, tit. I, sec. 4E (as amended)DEADLINE FOR COMPLETING ENFORCEMENT INVESTIGATIONS AND COMPLIANCE EXAMINATIONS AND INSPECTIONS.
- Act of June 6, 1934, tit. I, sec. 5 (as amended)transactions on unregistered exchanges
- Act of June 6, 1934, tit. I, sec. 6 (as amended)national securities exchanges
- Act of June 6, 1934, tit. I, sec. 7 (as amended)margin requirements
- Act of June 6, 1934, tit. I, sec. 8 (as amended)restrictions on borrowing by members, brokers, and dealers
- Act of June 6, 1934, tit. I, sec. 9 (as amended)prohibition against manipulation of security prices
- Act of June 6, 1934, tit. I, sec. 10 (as amended)regulation of the use of manipulative and deceptive devices
- Act of June 6, 1934, tit. I, sec. 10A (as amended)AUDIT REQUIREMENTS.
- Act of June 6, 1934, tit. I, sec. 10B (as amended)POSITION LIMITS AND POSITION ACCOUNTABILITY FOR SECURITY-BASED SWAPS AND LARGE TRADER REPORTING.
- Act of June 6, 1934, tit. I, sec. 10C (as amended)COMPENSATION COMMITTEES.
- Act of June 6, 1934, tit. I, sec. 10D (as amended)RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION POLICY.
- Act of June 6, 1934, tit. I, sec. 11 (as amended)trading by members of exchanges, brokers, and dealers
- Act of June 6, 1934, tit. I, sec. 11A (as amended)national market system for securities; securities information processors
- Act of June 6, 1934, tit. I, sec. 12 (as amended)registration requirements for securities
- Act of June 6, 1934, tit. I, sec. 13 (as amended)periodical and other reports
- Act of June 6, 1934, tit. I, sec. 13A (as amended)REPORTING AND RECORDKEEPING FOR CERTAIN SECURITY-BASED SWAPS.
- Act of June 6, 1934, tit. I, sec. 14 (as amended)proxies
- Act of June 6, 1934, tit. I, sec. 14A (as amended)SHAREHOLDER APPROVAL OF EXECUTIVE COMPENSATION.
- Act of June 6, 1934, tit. I, sec. 14B (as amended)CORPORATE GOVERNANCE.
- Act of June 6, 1934, tit. I, sec. 15 (as amended)registration and regulation of brokers and dealers
- Act of June 6, 1934, tit. I, sec. 15A (as amended)registered securities associations
- Act of June 6, 1934, tit. I, sec. 15B (as amended)municipal securities
- Act of June 6, 1934, tit. I, sec. 15C (as amended)government securities brokers and dealers,
- Act of June 6, 1934, tit. I, sec. 15D (as amended)ANALYSTS AND RESEARCH REPORTS.
- Act of June 6, 1934, tit. I, sec. 15E (as amended)REGISTRATION OF NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATIONS.
- Act of June 6, 1934, tit. I, sec. 15F (as amended)REGISTRATION AND REGULATION OF SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP PARTICIPANTS.
- Act of June 6, 1934, tit. I, sec. 15G (as amended)CREDIT RISK RETENTION.
- Act of June 6, 1934, tit. I, sec. 16 (as amended)DIRECTORS, OFFICERS, AND PRINCIPAL STOCKHOLDERS.
- Act of June 6, 1934, tit. I, sec. 17 (as amended)accounts and records, examinations of exchanges, members, and others
- Act of June 6, 1934, tit. I, sec. 17A (as amended)national system for clearance and settlement of securities transactions
- Act of June 6, 1934, tit. I, sec. 17B (as amended)AUTOMATED QUOTATION SYSTEMS FOR PENNY STOCKS
- Act of June 6, 1934, tit. I, sec. 18 (as amended)liability for misleading statements
- Act of June 6, 1934, tit. I, sec. 19 (as amended)registration, responsibilities, and oversight of self-regulatory organizations
- Act of June 6, 1934, tit. I, sec. 20 (as amended)liability of controlling persons and persons who aid and abet violations
- Act of June 6, 1934, tit. I, sec. 20A (as amended)liability to contemporaneous traders for insider trading
- Act of June 6, 1934, tit. I, sec. 21 (as amended)investigations; injunctions and prosecution of offenses
- Act of June 6, 1934, tit. I, sec. 21A (as amended)civil penalties for insider trading
- Act of June 6, 1934, tit. I, sec. 21B (as amended)CIVIL REMEDIES IN ADMINISTRATIVE PROCEEDINGS
- Act of June 6, 1934, tit. I, sec. 21C (as amended)CEASE-AND-DESIST PROCEEDINGS
- Act of June 6, 1934, tit. I, sec. 21D (as amended)PRIVATE SECURITIES LITIGATION.
- Act of June 6, 1934, tit. I, sec. 21E (as amended)APPLICATION OF SAFE HARBOR FOR FORWARD-LOOKING STATEMENTS.
- Act of June 6, 1934, tit. I, sec. 21F (as amended)WHISTLEBLOWER INCENTIVES AND PROTECTION.
- Act of June 6, 1934, tit. I, sec. 22 (as amended)hearings by commission
- Act of June 6, 1934, tit. I, sec. 23 (as amended)rules, regulations, and orders; annual reports
- Act of June 6, 1934, tit. I, sec. 24 (as amended)public availability of information
- Act of June 6, 1934, tit. I, sec. 25 (as amended)court review of orders and rules
- Act of June 6, 1934, tit. I, sec. 26 (as amended)unlawful representations
- Act of June 6, 1934, tit. I, sec. 27 (as amended)jurisdiction of offenses and suits
- Act of June 6, 1934, tit. I, sec. 27A (as amended)special provision relating to statute of limitations on private causes of action
- Act of June 6, 1934, tit. I, sec. 28 (as amended)effect on existing law
- Act of June 6, 1934, tit. I, sec. 29 (as amended)validity of contracts
- Act of June 6, 1934, tit. I, sec. 30 (as amended)foreign securities exchanges
- Act of June 6, 1934, tit. I, sec. 30A (as amended)prohibited foreign trade practices by issuers
- Act of June 6, 1934, tit. I, sec. 31 (as amended)TRANSACTION FEES.
- Act of June 6, 1934, tit. I, sec. 32 (as amended)
- Act of June 6, 1934, tit. I, sec. 33 (as amended)separability of provisions
- Act of June 6, 1934, tit. I, sec. 34 (as amended)effective date
- Act of June 6, 1934, tit. I, sec. 35 (as amended)AUTHORIZATION OF APPROPRIATIONS.
- Act of June 6, 1934, tit. I, sec. 35A (as amended)requirements for the edgar system
- Act of June 6, 1934, tit. I, sec. 36 (as amended)GENERAL EXEMPTIVE AUTHORITY.
- Act of June 6, 1934, tit. I, sec. 37 (as amended)TENNESSEE VALLEY AUTHORITY.
- Act of June 6, 1934, tit. I, sec. 38 (as amended)FEDERAL NATIONAL MORTGAGE ASSOCIATION, FEDERAL HOME LOAN MORTGAGE CORPORATION, FEDERAL HOME LOAN BANKS.
- Act of June 6, 1934, tit. I, sec. 39 (as amended)INVESTOR ADVISORY COMMITTEE.
- Act of June 6, 1934, tit. I, sec. 40 (as amended)SMALL BUSINESS CAPITAL FORMATION ADVISORY COMMITTEE.
- Act of June 6, 1934, tit. I, sec. 41 (as amended)DATA STANDARDS FOR SECURITY-BASED SWAP REPORTING.
- Act of June 6, 1934, tit. I, "penalties" (as amended)penalties