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The Texas State Securities Board is a Texas state agency headquartered in Austin, Texas . The Board enforces the Texas Securities Act (TEX. REV. CIV. STAT. ANN. art. 581–1) and maintains programs for enforcement, registration of securities, registration of securities dealers, investment advisers, and agents, and inspections of registered firms.
Harold Barefoot Sanders Jr. (February 5, 1925 – September 21, 2008) was an American attorney, politician, and jurist who served as a United States district judge of the United States District Court for the Northern District of Texas and counsel to President Lyndon B. Johnson. He was best known for overseeing the lawsuit to desegregate the ...
The Uniform Securities Agent State Law Examination consists of 65 multiple-choice questions. Applicants are allowed 75 minutes to complete the examination. Applicants must attain scores of 72% in order to pass. Credit is only given for correct answers. Of the 65 questions on the exam, 60 will count toward the final score.
Related topics. v. t. e. The U.S. Securities and Exchange Commission ( SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street Crash of 1929. [2] [3] [4] The primary purpose of the SEC is to enforce the law against market manipulation. [5] [6] : 2. In addition to the Securities Exchange ...
The Securities Act of 1933, also known as the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, and the ' 33 Act, was enacted by the United States Congress on May 27, 1933, during the Great Depression and after the stock market crash of 1929. It is an integral part of United States securities regulation.
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
The Uniform Securities Act ( USA) is a model statute designed to guide each state in drafting its state securities law. It was created by the National Conference of Commissioners on Uniform State Laws (NCCUSL). The purpose of the Uniform Securities Act is to provide model legislation that can be adopted by a state to deal with securities fraud ...
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]