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The current director ("Secretary") of this department is Mario Treto, Jr. On April 1, 2014, Executive Order 3 (2014) was issued and created the Division of Real Estate. [3] In August 2013, Illinois became the 20th state to legalize medical cannabis when the Compassionate Use of Medical Cannabis Program Act was signed into law.
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Created by Section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. § 78d and commonly referred to as the Exchange Act or the 1934 Act), the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002 ...
The Act was substantially revised in 1956, as the Uniform Securities Act of 1956. [4] This revision was much more successful, and was adopted by 37 jurisdictions. [1] The act was revised again in 1985 as the Uniform Securities Act of 1985, and amended in 1988, but few states adopted these changes, and instead continued to operate under the 1956 ...
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Much of the duplication, especially with regards to registration of securities and the regulation of brokers and advisors, was largely preempted by the Securities and Exchange Commission with the National Securities Markets Improvement Act of 1996 (NSMIA). This act, however, left some regulation of investment advisors and much of the fraud ...
The SEC was created by the Securities Exchange Act of 1934 to enforce the Securities Act of 1933. [3] The SEC oversees several important organizations: for example, FINRA, a self-regulatory organization, is regulated by the SEC. FINRA promulgates rules that govern broker-dealers and certain other professionals in the securities industry.
SEC Rule 10b-5, codified at 17 CFR 240.10b-5, is one of the most important rules targeting securities fraud in the United States. It was promulgated by the U.S. Securities and Exchange Commission (SEC), pursuant to its authority granted under § 10(b) of the Securities Exchange Act of 1934. [1]