Exchange Act definition: Copy, customize, and use instantly
Introduction
The term "Exchange Act" refers to the U.S. Securities Exchange Act of 1934, a critical piece of legislation that governs the secondary trading of securities and regulates the activities of securities exchanges, brokers, and dealers in the United States. The Exchange Act is designed to ensure transparency, fairness, and protection for investors by imposing reporting, disclosure, and other regulatory requirements on publicly traded companies and individuals involved in securities trading.
Below are various examples of how "Exchange Act" can be defined in different contexts. Copy the one that fits your needs, customize it, and use it in your contract.
Definition of "Exchange Act" as the U.S. Securities Exchange Act of 1934
This definition ties "Exchange Act" to the U.S. Securities Exchange Act of 1934, the legislation governing securities transactions in the U.S.
"Exchange Act" refers to the U.S. Securities Exchange Act of 1934, a federal law that regulates the secondary trading of securities, including the registration and reporting requirements for publicly traded companies.
Definition of "Exchange Act" as governing securities transactions
This definition connects "Exchange Act" to its role in governing the trading of securities.
"Exchange Act" refers to the legislation governing the buying and selling of securities in public markets, aiming to ensure transparency, fairness, and protection of investors.
Definition of "Exchange Act" as a framework for corporate reporting
This definition links "Exchange Act" to its role in corporate reporting and disclosure requirements.
"Exchange Act" refers to the set of legal provisions under the U.S. Securities Exchange Act of 1934, requiring companies to disclose financial and operational information to investors, ensuring informed decision-making.
Definition of "Exchange Act" as regulating securities exchanges
This definition ties "Exchange Act" to its role in regulating securities exchanges like the New York Stock Exchange (NYSE).
"Exchange Act" refers to the regulatory framework governing securities exchanges, ensuring that market activities are fair and transparent, with specific provisions aimed at the operation of exchanges such as the NYSE.
Definition of "Exchange Act" as a regulatory framework for insider trading
This definition connects "Exchange Act" to its role in preventing insider trading and market manipulation.
"Exchange Act" refers to the regulatory framework that prohibits insider trading and market manipulation, providing legal penalties for individuals or entities engaging in such illegal activities.
Definition of "Exchange Act" as a basis for SEC enforcement
This definition ties "Exchange Act" to its enforcement by the U.S. Securities and Exchange Commission (SEC).
"Exchange Act" refers to the body of law that is enforced by the U.S. Securities and Exchange Commission (SEC), which ensures compliance with securities regulations and investigates violations.
Definition of "Exchange Act" as ensuring public company accountability
This definition connects "Exchange Act" to its role in holding public companies accountable for their actions.
"Exchange Act" refers to the law that holds public companies accountable by requiring them to file periodic reports with the SEC, disclosing financial and other material information about their operations.
Definition of "Exchange Act" as regulating proxy solicitations
This definition ties "Exchange Act" to its role in regulating proxy solicitations and shareholder voting.
"Exchange Act" refers to the provisions that regulate proxy solicitations, ensuring that shareholders have the necessary information to make informed voting decisions in corporate governance matters.
Definition of "Exchange Act" as applying to all registered securities
This definition connects "Exchange Act" to its application to all registered securities.
"Exchange Act" refers to the law that applies to all securities registered with the U.S. Securities and Exchange Commission (SEC), establishing rules for their trading, reporting, and disclosure.
Definition of "Exchange Act" as governing the trading of securities on national exchanges
This definition links "Exchange Act" to its regulation of securities trading on national exchanges.
"Exchange Act" refers to the law governing the trading of securities on national securities exchanges, such as the NYSE and NASDAQ, to ensure orderly and transparent market operations.
Definition of "Exchange Act" as addressing market manipulation
This definition ties "Exchange Act" to its role in preventing market manipulation.
"Exchange Act" refers to the regulatory framework that addresses and prevents market manipulation, providing penalties for any attempt to distort the market for financial gain.
Definition of "Exchange Act" as a tool for protecting investors
This definition connects "Exchange Act" to its purpose of protecting investors in securities markets.
"Exchange Act" refers to the legal framework designed to protect investors in the securities markets by enforcing rules on disclosure, fraud prevention, and insider trading.
Definition of "Exchange Act" as regulating the purchase and sale of securities
This definition ties "Exchange Act" to its regulation of securities purchases and sales.
"Exchange Act" refers to the law regulating the purchase and sale of securities, including the rules and provisions that govern trading practices and ensure transparency and fairness in the markets.
Definition of "Exchange Act" as establishing reporting obligations for brokers
This definition links "Exchange Act" to its role in establishing reporting obligations for brokers and dealers.
"Exchange Act" refers to the law that establishes reporting requirements for brokers and dealers in securities transactions, aiming to maintain transparency in the securities industry.
Definition of "Exchange Act" as a regulatory framework for securities fraud
This definition ties "Exchange Act" to its role in preventing and addressing securities fraud.
"Exchange Act" refers to the body of law designed to prevent securities fraud, including insider trading, misleading statements, and other fraudulent activities in the securities market.
Definition of "Exchange Act" as addressing the trading of securities by corporate insiders
This definition connects "Exchange Act" to its regulation of corporate insider trading.
"Exchange Act" refers to the legal framework that regulates the trading of securities by corporate insiders, including officers, directors, and significant shareholders, to prevent conflicts of interest and protect investors.
Definition of "Exchange Act" as providing the legal foundation for SEC rulemaking
This definition ties "Exchange Act" to its role in providing the legal foundation for SEC rulemaking.
"Exchange Act" refers to the law that provides the basis for the Securities and Exchange Commission (SEC) to create and enforce regulations governing the securities industry.
Definition of "Exchange Act" as the law regulating secondary securities markets
"Exchange Act" refers to the legislation governing secondary markets for securities, ensuring that securities transactions occur in an orderly, transparent, and fair environment for investors and market participants.
Definition of "Exchange Act" as establishing disclosure requirements for public companies
"Exchange Act" means the federal law requiring public companies to disclose material financial and operational information periodically, ensuring investors have access to reliable data for decision-making.
Definition of "Exchange Act" as the framework for fair trading practices
"Exchange Act" refers to the legal framework designed to promote fair trading practices, reduce fraudulent activities, and establish trust among investors in the securities markets.
Definition of "Exchange Act" as applicable to reporting requirements for large shareholders
"Exchange Act" means the legal provision requiring large shareholders, holding a significant percentage of a company’s stock, to disclose their holdings and transactions to maintain market transparency.
Definition of "Exchange Act" as the foundation for regulating securities intermediaries
"Exchange Act" refers to the law that establishes regulations for securities intermediaries, such as brokers and dealers, to ensure compliance with professional standards and maintain investor protection.
Definition of "Exchange Act" as governing tender offers
"Exchange Act" refers to the provisions regulating tender offers, requiring detailed disclosures by the offeror to protect shareholders and ensure they have sufficient information before making decisions.
Definition of "Exchange Act" as ensuring accountability in securities pricing
"Exchange Act" means the legislation that requires accurate and transparent pricing of securities in the market, helping prevent price manipulation and ensuring fair market value.
Definition of "Exchange Act" as addressing electronic trading systems
"Exchange Act" refers to the law that regulates modern electronic trading systems, ensuring they operate within a framework of transparency, efficiency, and investor protection.
Definition of "Exchange Act" as supporting enforcement against false financial disclosures
"Exchange Act" refers to the framework empowering regulatory bodies to enforce penalties against companies or individuals providing false or misleading financial disclosures, protecting market integrity.
Definition of "Exchange Act" as establishing standards for securities analysts
"Exchange Act" means the legal structure that sets standards for securities analysts, ensuring that their reports and recommendations are unbiased, well-researched, and transparent.
Definition of "Exchange Act" as regulating the conduct of securities exchanges
"Exchange Act" refers to the law that regulates the operations and conduct of securities exchanges, ensuring that they comply with fairness, transparency, and anti-manipulation standards.
Definition of "Exchange Act" as governing securities registration requirements
"Exchange Act" means the legal framework that outlines the registration requirements for securities offered to the public, ensuring that investors receive essential information about securities before they are bought or sold.
Definition of "Exchange Act" as establishing the role of the SEC
"Exchange Act" refers to the statute that defines the powers and responsibilities of the U.S. Securities and Exchange Commission (SEC) in overseeing and regulating the securities industry to protect investors and maintain market integrity.
Definition of "Exchange Act" as protecting investors through antifraud provisions
"Exchange Act" means the set of regulations within the act that aims to prevent fraud in securities transactions by penalizing deceptive practices and ensuring accurate public disclosures.
Definition of "Exchange Act" as imposing reporting obligations on insiders
"Exchange Act" refers to the provision that imposes specific reporting obligations on company insiders, such as officers and directors, to disclose trades and holdings in the company's securities.
Definition of "Exchange Act" as regulating proxy solicitations
"Exchange Act" refers to the part of the law that governs proxy solicitations, ensuring that shareholders are properly informed when voting on important corporate matters.
Definition of "Exchange Act" as facilitating regulation of securities-based derivatives
"Exchange Act" means the framework that extends to the regulation of securities-based derivatives, ensuring that these complex financial instruments are subject to proper oversight to prevent market abuses.
Definition of "Exchange Act" as the governing law for short selling
"Exchange Act" refers to the law that regulates short selling practices, ensuring that such transactions are conducted transparently and within the bounds of fairness to prevent market manipulation.
This article contains general legal information and does not contain legal advice. Cobrief is not a law firm or a substitute for an attorney or law firm. The law is complex and changes often. For legal advice, please ask a lawyer.