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Proposed Rule Change by Boston Stock Exchange Pursuant to Rule 19b 4 under the Securities Exchange Act of 1934 Initial Amendment Form
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People also ask
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What is a 19b 4 filing?
SEC Form 19b-4 is used by covered self-regulatory organizations (SROs) to record a rule change with the SEC. Many stock exchanges and financial regulatory bodies are SROs, and so their bylaws, rules, and regulations must be filed with the SEC for public recordkeeping. -
What did the Securities Act of 1934 do?
The Securities Exchange Act of 1934 (SEA) was created to govern securities transactions on the secondary market, after issue. Its goal was to ensure greater financial transparency and accuracy and less fraud or manipulation. -
What enforcement powers does the SEC provide with the Act of 1934?
The Securities Exchange Act of 1934 gives the SEC broad powers to enforce U.S. federal securities law, but also investigate potential violations such as insider trading, the sale of unregistered stocks, manipulation of market prices and disclosure of fraudulent financial information. -
Which of the following is regulated by the Securities Exchange Act of 1934?
The Securities and Exchange Act of 1934 ("1934 Act," or "Exchange Act") primarily regulates transactions of securities in the secondary market. -
What is Rule 19b 4 E under the Securities Exchange Act of 1934?
Rule 19b-4(e) permits a self-regulatory organization to list and trade new derivative securities products, subject to existing trading rules, regulations, surveillance procedures, and listing standards, without submitting a rule filing for Commission approval pursuant to Section 19(b) of the Securities Exchange Act of ... -
What power did the Securities Exchange Act of 1934 gave the SEC?
Through the Exchange Act, the SEC gained the authority to register, regulate, and oversee brokerage firms, transfer agents, and clearing agencies. -
What authority was given to the Securities and Exchange Commission?
The Securities and Exchange Commission administers Federal securities laws that seek to provide protection for investors; to ensure that securities markets are fair and honest; and, when necessary, to provide the means to enforce securities laws through sanctions. -
What are the powers of the SEC?
The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority but may refer matters to state and federal prosecutors.
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