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Which provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 deal with secondary liability both as a control person and or aider and abettor?
ScottDFisher
Secondary liability is covered under Section 10(b) of the Securitis Act of 1933 and the Securities Exchange Act of 1934, where it is determined both as a control person and/or an aider and abettor.
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∙ 10y ago
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What are the provisions of the Securities Exchange Act of 1934?
This act created the Securities Exchange Commission (SEC) and required any brokers or dealers engaged in the exchange of securities to report these transactions to the SEC
What was the security and exchange act?
The Securities Exchange Act of 1934 was created to provide governance of securities transactions on the secondary market (after issue) and regulate the exchanges and broker-dealers in order to protect the investing public.
What regulation do companies with publicly traded securities participating in mergers or acquisitions face?
All such companies must meet federal securities laws that deal with adherence to provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, which deal with disclosure requirements
The role of the Securities and Exchange Commission in the formulation of accounting principles can be best described as?
Sometimes primary and sometimes secondary.
The antifraud provisions of the Securities Act of 1933 apply to?
The antifraud provisions of the Investment Advisers Act of 1940 apply to all conduct that concerns the integrity of the client relationship from an advisory standpoint. As far as actual securities transactions, those are covered under the antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. The Advisers Act differed in that the activity did not have to be directly related to actual conduct in the offer or sale of securities, but extended to any deceitful conduct in the rendering of investment advice, the results of which constitute a fraud upon the client.
When was Bahamas Securities Exchange created?
Bahamas Securities Exchange was created in 1999.
What is Cambodia Securities Exchange's population?
The population of Cambodia Securities Exchange is 39.
When was Damascus Securities Exchange created?
Damascus Securities Exchange was created in 2009.
What is the population of Osaka Securities Exchange?
Osaka Securities Exchange's population is 207.
What is the population of Uganda Securities Exchange?
Uganda Securities Exchange's population is 16.
When was Australian Securities Exchange created?
Australian Securities Exchange was created in 1987.
What is Australian Securities Exchange's population?
Australian Securities Exchange's population is 500.
