
To Amend the Securities Exchange Act of 1934 to Ensure Mortgages Held Financialservices House Form
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People also ask
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What is the Securities and Exchange Act of 1934 as amended?
Also known as Exchange Act or '34 Act. The federal statute regulating the periodic reporting obligations of reporting companies, tender offers, certain trading practices, insider trading and the registration and conduct of broker-dealers.
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What were the provisions of the Securities Exchange Act of 1934 enacted to ensure?
AN ACT To provide for the regulation of securities exchanges and of over-the- counter markets operating in interstate and foreign commerce and through the mails, to prevent inequitable and unfair practices on such exchanges and markets, and for other purposes.
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What is the rule 10b 10 under the Securities Exchange Act of 1934?
Rule 10b-10 under the Securities Exchange Act of 1934 (“Exchange Act”) requires broker-dealers to disclose basic trade information to customers regarding their securities transactions.
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What is Section 16 of the Securities Exchange Act of 1934 as amended?
Section 16 imposes filing standards for "insiders," and defines insiders as any officers, directors, or stockholders who possess stock that directly or indirectly results in beneficial ownership of more than 10% of the company's common stock or other class of equity.
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What is Section 10A of the Securities Exchange Act of 1934?
Section 10A requires, among other things, that the auditor of a registrant's financial statements report to the registrant's board of directors certain uncorrected illegal acts of the registrant, and that the registrant notify the Commission that it has received such a report.
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What is Section 10 of the Securities Exchange Act?
Section 10 Manipulative and Deceptive Devices To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered, or . . .
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What is the securities and Exchange Act of 1934 as amended?
Also known as Exchange Act or '34 Act. The federal statute regulating the periodic reporting obligations of reporting companies, tender offers, certain trading practices, insider trading and the registration and conduct of broker-dealers.
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What do the amendments to Section 10A of the Securities Exchange Act of 1934 address?
The amendments to Section 10A of the Securities Exchange Act of 1934 primarily address corporate audit committees, auditor independence, and financial reporting oversight.
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