Us Regulation Today

In: Business and Management

Submitted By sjbg
Words 1101
Pages 5
Regulation in our nation today – too much or not enough? That is the question this paper addresses. The Securities Acts of 1933 and 1934, the Foreign Corrupt Practices Act of 1977, along with the Sarbanes Oxley Act will be highlighted and discussed. The Securities Act of 1933 was the first major piece of federal legislation regarding the sale of securities. Prior to this legislation, the sale of securities was primarily governed by state laws; however, the market crash of 1929 raised some serious questions about the effectiveness of how the markets were being governed. Because of the turmoil surrounding the investing community at this time, the federal government had to bring back stability and investor confidence in the overall system.

In general, the legislation was enacted as the need for more information within and about the securities markets was acknowledged. The legislation addressed the need for better disclosure by requiring companies to register with the Securities and Exchange Commission. Registration ensures companies provide the SEC and potential investors with all relevant information by means of the prospectus and registration statement. Under this act, the seller of a security is liable for making any material misstatement or omission, either oral or written, in connection with the offer or sale of a security.

The Securities Act of 1934 was enacted to ensure investors received ongoing information about public companies with publicly traded stock. Under this act, an issuer must register with the SEC if 1) it completes a public offering under the 1933 Act, or 2) its securities are traded on a national exchange, or 3) it has at least 500 shareholders and total assets exceeding $10 million. Public companies under this act must file annual reports on Form 10-K, quarterly reports on Form 10-Q, and Form 8-K.

The Securities and…...

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