Category: Government Acts & Legal Regulations
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The NASD: National Association of Securities Dealers
The NASD was an important SRO that paved the path for the current securities regulator & SRO, FINRA . . .
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FINRA
FINRA replaced the NASD around July 30th, 2007. Learn more about FINRA within this article . . . .
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An Overview of Investment Companies
Isaiah 43:18-21 (ESV): “Remember not the former things, nor consider the things of old. Behold, I am doing a new thing; now it springs forth, do you not perceive it? I will make a way in the wilderness and rivers in the desert. The wild beasts will honor me, the jackals and the ostriches, for…
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Investment Company Act of 1940
The Investment Company Act of 1940 aims to ….
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The Glass-Steagall Act of 1933
The Glass-Steagall Act of 1933 was a law that . . .
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The Securities Exchange Act of 1934
The Securities Exchange Act of 1934 was signed by President Roosevelt in June of . . .
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The Securities Act of 1933
The SEC was created during the Great Depression by Congress with the . . .
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Rights of a Common Stockholder
Proverbs 16:1 (LBLA): “Del hombre son los propósitos del corazón, mas del Señor es la respuesta de la lengua.” (NKJV): “The preparations of the heart belong to man, But the answer of the tongue is from the LORD.” (TPT): “Go ahead and make all the plans you want, but it’s the LORD who will ultimately direct…
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Bankruptcy & Liquidation
Bankruptcy is a legal proceeding & process that enables “debtors a financial ‘fresh start’ from burdensome debts.”