Behind the scenes of every market transaction lies a foundation of rules designed to ensure trust and fairness. Section 17 of the Securities Exchange Act of 1934 plays a pivotal role in this foundation. It’s a core component of one of the most significant pieces of financial legislation ever enacted...
The Securities Act of 1933 was the United States' first major federal legislation aimed at regulating the securities industry. Enacted on May 27, 1933, during the aftermath of the 1929 stock market crash and the Great Depression, the Act was designed to restore investor confidence by providing a fra...
The governing rules of exchange refer to the set of guidelines and regulations that oversee the operations and transactions within financial exchanges. These rules ensure fairness, transparency, and integrity in the market, providing a structured environment for trading and investment activities. Th...
The landscape of securities listing is a complex web of regulations and procedures designed to ensure market integrity, investor protection, and financial transparency. To navigate this intricate system, it’s essential to understand the fundamental rules and requirements that govern the listing of s...
The US Securities Exchange Act of 1934, also known as the Securities Exchange Act of 1934, is a landmark piece of legislation that significantly reshaped the American financial landscape. Enacted on June 6, 1934, during the Great Depression, this Act was a response to the stock market crash of 1929 ...
In the rapidly evolving landscape of cryptocurrency, regulatory bodies worldwide face the challenge of establishing frameworks that ensure market stability, investor protection, and innovation. The UK's Financial Conduct Authority (FCA) is at the forefront of this regulatory evolution, grappling wit...
In recent years, China's stock market has undergone significant reforms, particularly in the area of short selling. Short selling, the practice of borrowing and selling a stock with the intention of buying it back at a lower price, has been a controversial topic in global markets. In China, the regu...
The evolution of securities and exchange regulation in the United States is a fascinating journey through economic turmoil, regulatory innovation, and legislative change. This exploration of the historical development of securities and exchange regulations reveals the impact of major events and legi...
The U.S. Securities and Exchange Commission (SEC) stands as a towering pillar in the financial world, with a role so crucial that it can make or break the very fabric of Wall Street. Born from the ashes of the Great Depression, the SEC has undergone remarkable transformations, yet its core mission r...
In the world of financial trading, the Thailand short sell uptick rule represents a significant regulatory mechanism designed to curb market manipulation and ensure stability. This rule, implemented by the Securities and Exchange Commission (SEC) of Thailand, dictates that short selling of stocks ca...
