United States securities regulation
Law and regulations that relate to Securities
📊 Rating
2 news mentions · 👍 0 likes · 👎 0 dislikes
📌 Topics
- Finance (2)
- Regulation (1)
- Investment (1)
- Corporate Governance (1)
- Regulatory Compliance (1)
🏷️ Keywords
SEC filing (2) · Securities law (2) · GigCapital8 Corp (1) · Schedule 13G (1) · Avi Katz (1) · SPAC (1) · Institutional ownership (1) · Equity stake (1) · SunOpta (1) · Form 13D/A (1) · Shareholder disclosure (1) · Equity ownership (1) · Plant-based food (1)
📖 Key Information
Securities regulation in the United States is the field of U.S. law that covers transactions and other dealings with securities. The term is usually understood to include both federal and state-level regulation by governmental regulatory agencies, but sometimes may also encompass listing requirements of exchanges like the New York Stock Exchange and rules of self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA).
On the federal level, the primary securities regulator is the Securities and Exchange Commission (SEC).
📰 Related News (2)
🔗 Entity Intersection Graph
People and organizations frequently mentioned alongside United States securities regulation:
- 🌐 SEC filing (2 shared articles)
- 🌐 SunOpta (1 shared articles)
- 👤 Avi Katz (1 shared articles)
- 🌐 SPAC (1 shared articles)