Lub hom phiaj ntawm Securities Exchange Act yog dab tsi?
Lub hom phiaj ntawm Securities Exchange Act yog dab tsi?

Video: Lub hom phiaj ntawm Securities Exchange Act yog dab tsi?

Video: Lub hom phiaj ntawm Securities Exchange Act yog dab tsi?
Video: koj lub hom phiaj yog dab tsis tiag-ntuj tshiab xyooj nkauj tawm tshiab 2021-2022 2024, Kaum ib hlis
Anonim

Cov Securities Exchange Act xyoo 1934 (SEA) tau tsim los tswj hwm kev ruaj ntseg kev lag luam hauv kev lag luam thib ob, tom qab qhov teeb meem, ua kom muaj kev pom tseeb ntawm nyiaj txiag ntau dua thiab raug thiab tsis muaj kev dag ntxias lossis kev siv dag zog.

Hauv qhov no, lub hom phiaj ntawm Securities thiab Exchange Act xyoo 1933 yog dab tsi?

Cov Securities Act of 1933 yog thawj tsab cai lij choj ntawm tsoomfwv siv los tswj kev lag luam Tshuag. Cov ua coj lub hwj chim tawm ntawm lub xeev thiab muab tso rau hauv tsoom fwv txhais tes. Cov ua kuj tau tsim cov txheej txheem tsis sib xws los tiv thaiv cov tub ua lag luam tawm tsam kev dag ntxias.

Ib tug kuj yuav nug, qhov txawv ntawm Txoj Cai Securities ntawm 1933 thiab Txoj Cai Securities ntawm 1934 yog dab tsi? Cov 1933 Act tswj kev sau npe ntawm kev ruaj ntseg nrog SEC thiab lub teb chaws Tshuag lag luam, thiab cov 1934 Act tswj trading ntawm cov kev ruaj ntseg . Kev ruaj ntseg Txoj cai yog siv los ntawm kev paub dhau los kev ruaj ntseg cov kws lij choj, cov kws kho mob dav dav, tus accountants, cov kws pab tswv yim peev, thiab cov tub ua lag luam.

Qhov thib ob, leej twg tau pab Securities Exchange Act?

Ib ua Txhawm rau muab kev cai ntawm kev sib pauv kev nyab xeeb thiab ntawm cov khw muag khoom hauv khw muag khoom ua haujlwm hauv kev lag luam hauv xeev thiab txawv teb chaws thiab hauv kev xa ntawv, txhawm rau tiv thaiv kev tsis ncaj ncees thiab tsis ncaj ncees rau cov kev coj ua zoo li no. pauv thiab kev lag luam, thiab rau lwm lub hom phiaj. 15 U. S. C. § 78a ib.

Tshooj 13 A ntawm Txoj Cai Txiaj Ntsig yog dab tsi?

Ib lub tuam txhab raug Tshooj 13 los yog 15(d) ntawm lub Exchange Act yog lub tuam txhab tshaj tawm. Ua ntej lub tuam txhab kev nyab xeeb tuaj yeem pib pauv ntawm Asmeskas pauv , lub tuam txhab yuav tsum tso npe rau cov chav kawm ntawm kev nyab xeeb (debt lossis kev ncaj ncees) nrog rau SEC hauv qab Tshooj lus 12 (b) ntawm Exchange Act.

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