Abstract
This chapter provides an overview of the laws applicable to the markets and regulated market participants in the US. It recounts how US securities markets have evolved significantly over time due to advancements in technology and intervening efforts by lawmakers and securities regulators. It also notes the current US system of securities regulation, which was formulated in the early 1930s by the US Congress in an attempt to restore confidence in the financial system following a market collapse, bank failures, and widespread scandals. This chapter looks at the laws that directly affect the day—to—day operations of securities exchanges and equity markets in the US and are enforced by the US Securities and Exchange Commission (SEC). It also mentions the Securities Exchange Act of 1934 (Exchange Act) as the principal law that governs the US equity markets.
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