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But in 1987, it had held in Shearson/American Express Inc. v. McMahon that claims under the similar Securities Exchange Act of 1934 (the "1934 Act"), which regulates the secondary market where the vast majority of securities are traded, were arbitrable, [5] overruling several appeals court precedents that had extended the Wilko holding to the ...
The Investment Company Act of 1940 (commonly referred to as the '40 Act) is an act of Congress which regulates investment funds. It was passed as a United States Public Law ( Pub. L. 76–768 ) on August 22, 1940, and is codified at 15 U.S.C. §§ 80a-1 – 80a-64 .
The Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or 1934 Act) (Pub. L. 73–291, 48 Stat. 881, enacted June 6, 1934, codified at 15 U.S.C. § 78a et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America. [1]
Every state and territory has its own basic corporate code, while federal law creates minimum standards for trade in company shares and governance rights, found mostly in the Securities Act of 1933 and the Securities and Exchange Act of 1934, as amended by laws like the Sarbanes–Oxley Act of 2002 and the Dodd–Frank Wall Street Reform and ...
The Securities Acts Amendments of 1975 is a U.S. federal law that amended the Securities Act of 1933 and the Securities Exchange Act of 1934. [1] It was enacted by the 94th United States Congress and signed into law by President Gerald Ford on June 4, 1975. [2]
Argued March 3, 1987 Decided June 8, 1987; Full case name: Shearson/American Express Inc., and Mary Ann McNulty v. Eugene McMahon, Julia McMahon, individually and as Trustees of the David J. Hodder & Son, Inc. Employee Pension Plan; the David J. Hodder & Son Inc. Profit Sharing Plan; the Laurie Funeral Home, Inc. Employee Pension Plan; the Laurie Funeral Home Profit Sharing Plan, Plaintiffs ...
(A swap is a contract that calls for an exchange of cash between two participants, based on an underlying rate or index or on the performance of an asset.) [2] The Congressional Budget Office (CBO) estimates that implementing H.R. 4413 would cost $207 million in 2015 and $948 million over the 2015-2019 period, assuming appropriation of the ...
Commodity Exchange Act (ch. 545, 49 Stat. 1491, enacted June 15, 1936) is a federal act enacted in 1936 by the U.S. Government, with some of its provisions amending the Grain Futures Act of 1922. The Act provides federal regulation of all commodities and futures trading activities and requires all futures and commodity options to be traded on ...