United States Stock Corporation Act

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The United States stock exchange and stock laws are the laws that govern the establishment and handling of stock exchanges , public companies , stocks, and other publicly traded financial products in the United States .

backgrounds

The most important American stock exchange and stock exchange laws include

  • the Securities Act of 1933,
  • the Securities Exchange Act of 1934,
  • the Public Utility Holding Company Act of 1935,
  • the Trust Indenture Act of 1939,
  • the Investment Company Act of 1940,
  • the Investment Advisers Act of 1940,
  • the Securities Investor Protection Act of 1970 as well
  • the Sarbanes-Oxley Act of 2002

Securities Act of 1933

The Securities Act of 1933 was enacted by the American Congress in 1933 in response to the previous Great Depression.

Rule 144A

One of the most important regulations in this law for German investors and companies is the much-cited Rule 144A , which enables qualified institutional investors (Qualified Institutional Buyers) to trade privately placed securities without having to comply with holding periods.

It is true that no audited securities prospectus has to be created for this private placement, but a so-called offering circular that provides information on the key data of the security.

See also

Individual evidence

  1. ↑ Michael Dorin: Institutional measures to improve the quality of final exams. (PDF) Peer review and balance sheet control body in comparison. (No longer available online.) In: uni-bielefeld.de. Bielefeld University, November 2006, archived from the original on February 19, 2014 ; accessed on February 2, 2014 (dissertation to obtain the degree of Doctor of Economics from Bielefeld University).
  2. ↑ Rule 144 - Persons Deemed Not to Be Engaged in a Distribution and Therefore Not Underwriters ( Memento from August 2, 2008 in the Internet Archive )
  3. ↑ http://goliath.ecnext.com/coms2/gi_0199-3498996/The-winding-road-to-reward.html (link not available)