Law designed to ensure that investors are provided with material information about new issues of securities offered for sale to the public.
Securities Exchange Act of 1934
Law designed to govern the trading of Securities in the secondary market. Also known as the “1934 Act” or the “Exchange Act.”
Dive Deeper on State Law Matters
Learn more about the various aspects of state laws and how they intersect with municipal securities.
Any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or evidence of any participation in any profit-sharing agreement.