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  4. Securities Exchange Act of 1934

Securities Exchange Act of 1934

15 USC 78a et seq.; 48 Stat. 881; Pub. L. 73-291 (June 6, 1934)
  • Section
  • 3 
    Definitions and application
  • 3A 
    Swap agreements
  • 3B 
    Securities-related derivatives
  • 3C 
    Clearing for security-based swaps
  • 3D 
    Security-based swap execution facilities
  • 3E 
    Segregation of assets held as collateral in security-based swap transactions
  • 5 
    Transactions on unregistered exchanges
  • 6 
    National securities exchanges
  • 7 
    Margin requirements
  • 8 
    Restrictions on borrowing by members, brokers, and dealers
  • 9 
    Manipulation of security prices
  • 10 
    Manipulative and deceptive devices
  • 10B 
    Position limits and position accountability for security-based swaps and large trader reporting
  • 11 
    Trading by members of exchanges, brokers, and dealers
  • 11A 
    National market system for securities
  • 12 
    Registration requirements for securities
  • 13 
    Periodical and other reports
  • 13A 
    Reporting and recordkeeping for certain security-based swaps
  • 14 
    Proxies
  • 14A 
    Shareholder approval of executive compensation
  • 14B 
    Corporate governance
  • 15 
    Registration and regulation of brokers and dealers
  • 15A 
    Registered securities associations
  • 15B 
    Municipal securities
  • 15C 
    Government securities brokers and dealers
  • 15F 
    Registration and regulation of security-based swap dealers and major security-based swap participants
  • 15G 
    Credit Risk Retention
  • 16 
    Directors, officers, and principal stockholders
  • 17 
    Records and reports
  • 17A 
    National system for clearance and settlement of securities transactions
  • 18 
    Liability for misleading statements
  • 19 
    Registration, responsibilities, and oversight of self-regulatory organizations
  • 20 
    Liability of controlling persons and persons who aid and abet violations
  • 20A 
    Liability to contemporaneous traders for insider trading
  • 21 
    Investigation and actions
  • 21A 
    Civil penalties for insider trading
  • 21B 
    Civil remedies in administrative proceedings
  • 23 
    Rules, regulations, and orders; annual reports
  • 24 
    Public availability of information
  • 25 
    Court review of orders and rules
  • 26 
    Unlawful representations
  • 27 
    Jurisdiction of offenses and suits
  • 27A 
    Special provisions relating to statute of limitations on private causes of action
  • 28 
    Effect on existing law
  • 29 
    Validity of contracts
  • 30 
    Foreign securities exchanges
  • 30A 
    Foreign corrupt practices by issuers
  • 32 
    Penalties
  • 34 
    Effective date
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