美国1934年证券交易法（英文）Securities Exchange Act of 1934

《美国1934年证券交易法（英文）Securities Exchange Act of 1934》由会员上传分享，免费在线阅读，更多相关内容在教育资源-天天文库。

1、SecuritiesExchangeActof1934(Amended)234USCTITLE15>CHAPTER2B·§ 78a.Shorttitle·§ 78b.Necessityforregulation·§ 78c.Definitionsandapplication·§ 78c-1.Swapagreements·§ 78d.SecuritiesandExchangeCommission·§ 78d-1.DelegationoffunctionsbyCommission·§ 78d-2.Transferoffunctionswithrespecttoassignmentofp

2、ersonneltochairman·§ 78d-3.AppearanceandpracticebeforetheCommission·§ 78e.Transactionsonunregisteredexchanges·§ 78f.Nationalsecuritiesexchanges·§ 78g.Marginrequirements·§ 78h.Restrictionsonborrowingandlendingbymembers,brokers,anddealers·§ 78i.Manipulationofsecurityprices·§ 78j.Manipulativeandd

3、eceptivedevices·§ 78j-1.Auditrequirements·§ 78k.Tradingbymembersofexchanges,brokers,anddealers·§ 78k-1.Nationalmarketsystemforsecurities;securitiesinformationprocessors·§ 78l.Registrationrequirementsforsecurities·§ 78l-1.Applicationsforunlistedtradingprivilegesdeemedfiledundersection78lofthist

4、itle·§ 78m.Periodicalandotherreports·§ 78n.Proxies·§ 78o.Registrationandregulationofbrokersanddealers·§ 78o-1.Brokersdeemedtoberegistered(omitted)·§ 78o-2.Liabilitiesarisingpriortoamendmentunaffected(omitted)·§ 78o-3.Registeredsecuritiesassociations·§ 78o-4.Municipalsecurities·§ 78o-5.Governme

5、ntsecuritiesbrokersanddealers·§ 78o-6.Securitiesanalystsandresearchreports·§ 78p.Directors,officers,andprincipalstockholders·§ 78q.Recordsandreports·§ 78q-1.Nationalsystemforclearanceandsettlementofsecuritiestransactions·§ 78q-2.Automatedquotationsystemsforpennystocks·§ 78r.Liabilityformislead

6、ingstatements·§ 78s.Registration,responsibilities,andoversightofself-regulatoryorganizations·§ 78t.Liabilityofcontrollingpersonsandpersonswhoaidandabetviolations·§ 78t-1.Liabilitytocontemporaneoustradersforinsidertrading·§ 78u.Investigationsandactions·§ 78u-1.Civilpenaltiesforinsidertrading·§ 

7、78u-2.Civilremediesinadministrativeproceedings·§ 78u-3.Cease-and-desistproceedings234·§ 78u-4.Privatesecuritieslitigation·§ 78u-5.Applicationofsafeharborforforward-lookingstatements·§ 78v.HearingsbyCommission·§ 78w.Rules,regulations,and