Securities Exchange Act Of 1934 Section 15

General form for registration of securities pursuant to section 12 b or g of the exchange act form 10 d asset backed issuer distribution report pursuant to section 13 or 15 d of the exchange act.

Securities exchange act of 1934 section 15. 881 enacted june 6 1934 codified at 15 u s c. 73 291 48 stat. It shall be unlawful for any broker or dealer directly or indirectly to make use of the mails or of any means or instrumentality of interstate commerce for the purpose of effecting on an exchange not within or subject to the jurisdiction of the united states any transaction in any security the issuer of which is a resident of or is organized under the laws of or has its principal place of business in a place within or subject to the jurisdiction of the united states in contravention of such rules and regulations as the commission may prescribe as necessary or appropriate in the public interest or for the protection of investors or to prevent the evasion of this chapter. 112 158 approvedaugust10 2012 table of contents titlei regulation ofsecuritiesexchanges.

Indicate by check mark whether the registrant 1 has filed all reports required to be filed by section 13 or 15 d of the securities exchange act of 1934 during the preceding 12 months or for such shorter period that the registrant was required to file such reports and 2 has been subject to such filing. Home the deskbook table of contents the securities acts and general regulations securities exchange act of 1934 search statute and regulation section titles search for. The securities exchange act of 1934 during the preceding 12 months or for such shorter period that the registrant was required to file such reports and 2 has been subject to such filing requirements for the past 90 days. The order granting registration shall not be effective until such broker or dealer has become a member of a registered securities association or until such broker or dealer has become a member of a national securities exchange if such broker or dealer effects transactions.

The securities exchange act of 1934 also called the exchange act 34 act or 1934 act pub l. This act enacting section 78o 7 of this title amending sections 78c 78o 78q 78u 2 80a 2 80a 9 80b 2 and 80b 3 of this title section 4519 of title 12 banks and banking section 1087 2 of title 20 education and section 181 of title 23 highways and enacting provisions set out as notes under section 78o 7 of this title may be cited as the credit rating agency. 1934年証券取引所法 アメリカ合衆国の連邦法律 英語名 securities exchange act of 1934 通略称 exchange act 34 act act of 34 法典 合衆国法典第15編第78a条 15 u s c. The commission shall grant such registration if the commission finds that the requirements of this section are satisfied.