Regulations
Securities Exchange Act of 1934
Also Known As Exchange Act
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Enacted by the 73rd U.S. Congress and signed by President Franklin D. Roosevelt on 6 June 1934, the Securities Exchange Act governs secondary trading of securities in U.S. markets and created the Securities and Exchange Commission. It extends the disclosure regime of the Securities Act of 1933 to ongoing trading, requiring companies meeting size thresholds to file periodic reports, and its Section 10(b) contains the Act's broad antifraud prohibition against manipulative or deceptive devices. It was later amended by the Dodd-Frank Act of 2010.
Facts
Promulgated ByUnited States Congress, 73rd Congress, signed by President Franklin D. Roosevelt 2 Jurisdiction ScopeUnited States federal, publicly traded companies and securities markets 1 Regulatory DomainSecurities and financial services 1 Sources
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