Examlex
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Registration Requirements
Legal mandates for businesses or individuals to register with governmental authorities for licensure, tracking, or tax purposes.
SEC
Securities and Exchange Commission, a U.S. federal agency responsible for enforcing federal securities laws and regulating the securities industry, stock and options exchanges.
Securities Exchange Act Of 1934
The Securities ExchangeAct of 1934 was created to govern securities transactions on thesecondary market, after issue, ensuring greater financial transparency and accuracy and less fraud or manipulation. This actauthorized the formation of the Securities Exchange Commission (SEC), the regulatory arm of the Securities Exchange Act(SEA). The SEC has the power to oversee securities, such asstocks, bonds and over-the-counter securities, markets, and the The Securities ExchangeAct of 1934 was created to govern securities transactions on thesecondary market, after issue, ensuring greater financial transparency and accuracy and less fraud or manipulation. This actauthorized the formation of the Securities Exchange Commission (SEC), the regulatory arm of the Securities Exchange Act(SEA). The SEC has the power to oversee securities, such asstocks, bonds and over-the-counter securities, markets, and the conduct of financial professionals including brokers, dealers,and investment advisors, and monitor the financial reports thatpublicly traded companies are required to disclose
Judicial Branch
The branch of government responsible for interpreting the law and administering justice through courts.
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