Resources for Sarbanes-Oxley (SOX)
Capital market: Important rules compliance
www.thetidenews.com United States regulation of broker-dealers is governed primarily by certain provisions. The securities Act of 1933 generally referred to as the 33 Act and the rules and regulations promulgated under it. Primarily focused on IPO’s. The securities Act of 1934 generally referred to as the ’34 Act and the IPO trading of securities and (ii) the reporting obligations of publicly traded companies.
The rules of self regulatory organisations such as the stock exchanges (primarily the New York Stock Exchange and the NASDAQ) and the National Association of Securities Dealers (NASD).
To a lesser degree; The Investment company Act (regulates mutual funds and other pooled investment vehicles)
The investment Advisers Act (regulates entities in the business of advising others on securities transactions and the value of securities)
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