2nd copy.docx - Securities Act of 1933 1 This provision was...

Info icon This preview shows pages 1–3. Sign up to view the full content.

View Full Document Right Arrow Icon
Securities Act of 1933 1. This provision was subsequently issued when the Great Depression and the market collapsed in October 1929. This provision favored a series of events in the United States Congress. In the past ten years they had developed a series of events known as federal securities laws. 2. The first federal securities law to be issued is the "1933 Federal Securities Act," which governs the value of public offerings and sales in interstate commerce. Before the Great Depression, many cases of abuse appeared in the management of the US stock market. To make these abuses a reality and make the market more reliable and transparent, the Securities Act of 1933 was promulgated, and the prominent part was " Disclosure of information (disclosure). From this point on, future government agencies will be responsible for deciding on the quality and safety of investment provided to the public. 3. In this work, we must provide legal advice on Article 5 of the United States Securities and Exchange Commission’s Securities Act of 1933, which stipulates a so-called one offer or distribution, which includes the process of providing securities to the public for the first time, but this The behavior also covers the so-called secondary distribution. As is the case with secondary transactions in general, secondary distribution resources are beneficial to selling shareholders. 4. The Securities Act of 1933 regulates securities issues made to investors and it requires the issuer to make a record of all the securities that are issued to the public by the first time. Therefore, the issuer is required to register what within Securities legislation has been called a "registration report" (registration statement) before the SEC (at the time of issuance of the Securities Act of 1933 this registration was made before the Federal Trade Commission) .
Image of page 1

Info iconThis preview has intentionally blurred sections. Sign up to view the full version.

View Full Document Right Arrow Icon
1. The U.S. Securities and Exchange Commission is often referred to as the U.S. Securities and Exchange Commission, an independent U.S. government agency that oversees compliance with federal securities laws, stock exchange supervision, and the U.S. options market. The SEC is the Securities and Exchange Commission of the United States. It is the regulatory agency for financial markets and is responsible for the enforcement of federal laws. The U.S. Securities and Exchange Commission was established by the Securities Exchange Act of 1934 to regulate the securities industry. One of the SEC's responsibilities is to enforce relevant laws and regulations and to protect investors who interact with various organizations and individuals. 2. The Securities and Exchange Commission (SEC) is a federal agency created by Article 4A of the Securities Exchange Act of 1934. The provisions of the Securities Act of 1934 stipulated that the committee should be composed of five members appointed by the President on the basis of proposals and consents submitted by the Congress. The rule also provides that more than three of the five commissioners may be members of the same political party. These members shall not
Image of page 2
Image of page 3
This is the end of the preview. Sign up to access the rest of the document.

{[ snackBarMessage ]}

What students are saying

  • Left Quote Icon

    As a current student on this bumpy collegiate pathway, I stumbled upon Course Hero, where I can find study resources for nearly all my courses, get online help from tutors 24/7, and even share my old projects, papers, and lecture notes with other students.

    Student Picture

    Kiran Temple University Fox School of Business ‘17, Course Hero Intern

  • Left Quote Icon

    I cannot even describe how much Course Hero helped me this summer. It’s truly become something I can always rely on and help me. In the end, I was not only able to survive summer classes, but I was able to thrive thanks to Course Hero.

    Student Picture

    Dana University of Pennsylvania ‘17, Course Hero Intern

  • Left Quote Icon

    The ability to access any university’s resources through Course Hero proved invaluable in my case. I was behind on Tulane coursework and actually used UCLA’s materials to help me move forward and get everything together on time.

    Student Picture

    Jill Tulane University ‘16, Course Hero Intern