Glossary

Glossary

Term Book Chapter Definition
Securities Exchange Act of 1934 Securities Industry Essentials (SIE) Exam Chapter 8: Prohibited Practices and Ethical Conduct Prohibits insider trading and establishes penalties for violators.
Securities Exchange Act of 1934 U.S. Securities Regulation Introduction Law enacted to restore public confidence in the capital markets, it established rules for securities trading and created the Securities and Exchange Commission (SEC) to enforce them.
Securities Exchange Act of 1934 Venture Finance Chapter 20: Legal Framework for Start-up Financing A federal law in the United States that governs the secondary trading of securities such as stocks and bonds.