Securities Acts
Securities Acts 〈美〉证券法 规范证券登记、发行、交易等事项的联邦立法和州立法。主要的联邦证券立法包括《1933年证券法》〔Securities Act of 1933〕和《1934年联邦证券交易法》〔Securities Exchange Act of 1934〕，二者均由证券交易委员会〔SEC〕实施。而多数州均已采纳《统一证券法》〔Uniform Securities Act〕。 (→registration of securities)
Search Results for: SECURITIES ACT
Securities Act of 1933
Securities Act of 1933 〈美〉《1933年证券法》 规范证券业的一部重要的联邦法律。规定向社会公众发行的证券必须登记，并充分披露有关证券发行人及证券发行的情况。该法由联邦证券交易委员会〔SEC〕负责实施。
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securities act
securities act. A federal or state law protecting the public by regulating the registration, offering, and trading of securities. See SECURITIES ACT OF1933; SECURITIES EXCHANGE ACT OF1934; BLUE-SKY LAW.
securities act of 1933
Securities Act of 1933. The federal law regulating the registration and initial public offering of securities, with an emphasis on full public disclosure of financial and other information. 15 USCA §§ 77a–77aa. — Also termed Securities Act; 1933 Act. [Cases: Securities Regulation 11.10–30.15. C.J.S. Securities Regulation§§ 8, 23, 35–102.]
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Securities Exchange Act of 1934
Securities Exchange Act of 1934 〈美〉《1934年证券交易法》 该法是规范美国证券市场的操作和柜台交易的一部法律。该法要求信息公开，建立公平有序的证券市场，防止证券市场中的不正当经营行为，并加强政府对已在证券交易所上市注册并公开买卖的证券的监督管理。
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securities investor protection act
Securities Investor Protection Act. A 1970 federal law establishing the Securities Investor Protection Corporation that, although not a governmental agency, is designed to protect investors whose brokers and dealers are in financial trouble. — Abbr. SIPA. 15 USCA §§ 78aaa et seq. [Cases: Securities Regulation 185.10–185.21. C.J.S. Securities Regulation §§ 308–322.]
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securities exchange act of 1934
Securities Exchange Act of 1934. The federal law regulating the public trading of securities. • This law provides for periodic disclosures by issuers of securities and for the registration and supervision of securities exchanges and brokers, and regulates proxy solicitations. The Act also established the SEC.15 USCA §§ 78a et seq. — Also termed Exchange
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national association of securities dealers automated
National Association of Securities Dealers Automated Quotation system. A computerized system for recording transactions and displaying price quotations for a group of actively traded securities on the over-the-counter market. — Abbr. NASDAQ.
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securities investor protection corporation
Securities Investor Protection Corporation. A federally chartered corporation established under the Securities Investor Protection Act to protect investors and help brokers in financial trouble. — Abbr. SIPC. See SECURITIES INVESTOR PROTECTION ACT . [Cases: Securities Regulation 185.11. C.J.S. Securities Regulation § 308.]
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transaction causation
Securities. The fact that an investor would not have engaged in a given transaction if the other party had made truthful statements at the required time. [Cases: Securities Regulation 60.47. C.J.S. Securities Regulation §§ 208–210, 215.]
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