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EXCHANGE AGREEMENT THIS EXCHANGE LIMS  Form

EXCHANGE AGREEMENT THIS EXCHANGE LIMS Form

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so what is the Securities Exchange Act of 1934 uh well basically it picks up where the 1933 act left off uh where the 33 act um controls initial issuances of Securities uh by the issuer uh the 34 act focuses on the subsequent sale trade or transfer uh of Securities once they've been issued and it'll cover the issuer U Brokers dealers uh and puts requirements too on markets and exchanges uh that handle or brokerages that handle uh the sale of Securities uh so it it it also requires uh periodic disclosure so the 34 Act was actually what created the Securities and Exchange Commission or was the original Authority for the Securities and Exchange Commission uh but it requires uh routine uh quarterly and annual uh filings with the SEC and then special filings for anytime any M material events uh take place that will require uh disclosure to the public and it has a full litany of disclosure rules um and prohibitions on certain activities such as uh trading on Insider informati

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