Securities and Exchange Commission (SEC) (Part 2)

Securities and Exchange Commission (SEC) (Part 2)

Intuition Publishing
Updated Sep 24, 2020

There are many laws governing the US securities industry and we look at a number of the more important pieces of legislation here. Legislation such as the Securities Act of 1933, Securities Exchange Act of 1934, the acts applicable to investment companies and trusts, the Sarbanes-Oxley Act of 2002, the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 and the Business Startups (JOBS) Act of 2012.