Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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Securities Exchange Act of 1934

Table of Contents

    Section 1 -- Short Title

    Section 2 -- Necessity for Regulation

    Section 3 -- Definitions and Application

    Section 3A -- Swap Agreements

    Section 4 -- Securities and Exchange Commission

    Section 4A -- Delegation of Functions by Commission

    Section 4B -- Transfer of Functions with Respect to Assignment of Personnel to Chairman

    Section 4C -- Appearance and Practice Before the Commission

    Section 5 -- Transactions on Unregistered Exchanges

    Section 6 -- National Securities Exchanges

    Section 7 -- Margin Requirements

    Section 8 -- Restrictions on Borrowing and Lending by Members, Brokers, and Dealers

    Section 9 -- Manipulation of Security Prices

    Section 10 -- Manipulative and Deceptive Devices

    Section l0A -- Audit Requirements

    Section 11 -- Trading by Members of Exchanges, Brokers, and Dealers

    Section 11A -- National Market System for Securities; Securities Information Processors

    Section 12 -- Registration Requirements for Securities

    Section 13 -- Periodical and Other Reports

    Section 14 -- Proxies

    Section 14A -- Shareholder Approval of Executive Compensation

    Section 15 -- Registration and Regulation of Brokers and Dealers

    Section 15A -- Registered Securities Associations

    Section 15B -- Municipal Securities

    Section 15C -- Government Securities Brokers and Dealers

    Section 15D -- Securities Analysts and Research Reports

    Section 15E -- Registration of Nationally Recognized Statistical Rating Organizations

    Section 16 -- Directors, Officers, and Principal Stockholders

    Section 17 -- Records and Reports

    Section 17A -- National System for Clearance and Settlement of Securities Transactions

    Section 17B -- Automated Quotation Systems for Penny Stocks

    Section 18 -- Liability for Misleading Statements

    Section 19 -- Registration, Responsibilities, and Oversight of Self-Regulatory Organizations

    Section 20 -- Liability of Controlling Persons and Persons Who Aid and Abet Violations

    Section 20A -- Liability to Contemporaneous Traders for Insider Trading

    Section 21 -- Investigations and Actions

    Section 21A -- Civil Penalties for Insider Trading

    Section 21B -- Civil Remedies In Administrative Proceedings

    Section 21C -- Cease-and-Desist Proceedings

    Section 21D -- Private Securities Litigation

    Section 21E -- Application of Safe Harbor for Forward-Looking Statements

    Section 22 -- Hearings by Commission

    Section 23 -- Rules, Regulations, and Orders; Annual Reports

    Section 24 -- Public Availability of Information

    Section 25 -- Court Review of Orders and Rules

    Section 26 -- Unlawful Representations

    Section 27 -- Jurisdiction of Offenses and Suits

    Section 27A -- Special Provision Relating to Statute of Limitations on Private Causes of Action

    Section 28 -- Effect on Existing Law

    Section 29 -- Validity of Contracts

    Section 30 -- Foreign Securities Exchanges

    Section 30A -- Prohibited Foreign Trade Practices by Issuers

    Section 31 -- Transaction Fees

    Section 32 -- Penalties

    Section 33 -- Separability

    Section 34 -- Effective Date

    Section 35 -- Authorization of Appropriations

    Section 35A -- Requirements for the EDGAR system

    Section 36 -- General Exemptive Authority

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