the authorization for securities and exchange commission establised 1934

the 1934 law created the independent government agency enforced federal laws to regulate the stock market and to prevent fraud.
the sec was conceived after the senate committee on banking and currency investigated the new york stock exchange operations follow the 1929 wall street crash.
It required corporations selling bonds and stocks to register their sales and provide financial info about there company.
It also regulated stock exchanges and also provided for the monitoring of the required financial disclosures.
general provisions Applies to non-exempt securities only but anti-fraud applies to both exempt and non-exempt. Both individuals and firms are subject to this
SEC Required Financial Reports Requires financial reports from corporate issuers, municipal broker dealers, and corporate broker dealers. Not from municipal issuers because they are exempt.


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