Securities Exchange Act of 1934
Law designed to govern the trading of securities in the secondary market.
bond-basics
Securities Act of 1933
Law designed to ensure that investors are provided with material information about New Issues of Securities offered for sale to the public. Also known as the “1933 Act” or the “Securities Act.”
Dive Deeper on State Law Matters
Learn more about the various aspects of state laws and how they intersect with municipal securities.
See Also
Security
Any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or evidence of any participation in any profit-sharing agreement.
Start with the Bond Basics
Hundreds of Terms and Concepts
Agreed-Upon Procedures Letter
A letter from an independent certified public accountant stating that they have performed certain agreed upon duties.