Lub hom phiaj ntawm Securities Exchange Act xyoo 1934 yog dab tsi?

2024 Tus sau: Stanley Ellington | [email protected]. Kawg hloov kho: 2023-12-16 00:17

Cov Securities Exchange Act of 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.

Tsis tas li cov lus nug yog, 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.

SEC yog dab tsi thiab vim li cas nws thiaj tsim? Txoj cai lij choj no, ua ke nrog Txoj Cai Securities Exchange ntawm 1934, uas tsim tus SEC , tau tsim los kho cov neeg ua lag luam kev ntseeg siab hauv peb lub lag luam peev los ntawm kev muab cov tub ua lag luam thiab cov lag luam nrog cov ntaub ntawv txhim khu kev qha ntau dua thiab cov cai meej ntawm kev ncaj ncees.

Tsis tas li ntawd, qhov txawv ntawm Securities Act of 1933 thiab Securities Exchange Act of 1934 yog dab tsi?

Contrasted nrog cov Securities Act of 1933 , uas tswj cov teeb meem qub, cov Securities Exchange Act of 1934 regulates theem nrab trading ntawm cov kev ruaj ntseg ntawm cov neeg feem ntau tsis cuam tshuam nrog tus neeg xa khoom, feem ntau los ntawm cov neeg ua lag luam lossis cov neeg muag khoom.

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.