Securities-Law

Securities Exchange Act Creates SEC, Regulates Secondary Markets

1934-06-06 00:00:00 +0000 UTC | Importance: 9/10

President Franklin D. Roosevelt signs the Securities Exchange Act of 1934 into law on June 6, 1934, establishing the Securities and Exchange Commission (SEC) and comprehensive federal regulation of secondary securities trading (stocks, bonds, and debentures). FDR’s compromise approach attempts …

Franklin D. Roosevelt Joseph P. Kennedy Ferdinand Pecora Richard Whitney New York Stock Exchange +3 more financial-regulation new-deal sec-creation securities-law regulatory-victory +1 more

Securities Act of 1933 Establishes Federal Securities Regulation

1933-05-27 00:00:00 +0000 UTC | Importance: 9/10

President Franklin D. Roosevelt signs the Securities Act of 1933 into law on May 27, 1933, establishing the first major federal regulation of securities markets and requiring that investors receive financial and material information about securities offered for public sale. Often called the …

Franklin D. Roosevelt Huston Thompson Federal Trade Commission Wall Street Securities Industry financial-regulation new-deal securities-law investor-protection regulatory-victory +1 more