Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
UC Law logo


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 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


Return to top

Notice to Users: The Deskbook is made available with the understanding that the University of Cincinnati College of Law is not engaged in rendering legal, accounting or other professional services. If legal advice or other expert assistance is required, the services of a competent professional person should be sought. See Terms and Conditions of Use.  UC Brand Ingot

© Copyright 1998-2009, University of Cincinnati, All Rights Reserved
 Contact: ronald.jones@uc.edu