The prices established and offered in such transactions are generally disseminated and quoted throughout the United States and foreign countries and constitute a basis for determining and establishing the prices at which securities are bought and sold, the amount of certain taxes owing to the United States and to the several States by owners, buyers, and sellers of securities, and the value of collateral for bank loans. | The Securities Lawyer s Deskbook Search Page Suggestions Main Table of Contents Securities Exchange Act of 1934 Table of Contents Section 1-- Short Title Section 2 -- Necessity for Regulation Section 3 -- Definitions and Application Section 3A -- Swap Agreements Section 4 -- Securities and Exchange Commission Section 4A -- Delegation of Functions by Commission Section 4B -- Transfer of Functions with Respect to Assignment of Personnel to Chairman Section 4C -- Appearance and Practice Before the Commission Section 5 -- Transactions on Unregistered Exchanges Section 6 -- National Securities Exchanges Section 7 -- Margin Requirements Section 8 -- Restrictions on Borrowing and Lending by Members Brokers and Dealers Section 9 -- Manipulation of Security Prices Section 10 -- Manipulative and Deceptive Devices Section 10A -- Audit Requirements Section 11 -- Trading by Members of Exchanges Brokers and Dealers Section 11A -- National Market System for Securities Securities Information Processors Section 12 -- Registration Requirements for Securities Section 13 -- Periodical and Other Reports Section 14 -- Proxies Section 15 -- Registration and Regulation of Brokers and Dealers Section 15A -- Registered Securities Associations Section 15B -- Municipal Securities Section 15C -- Government Securities Brokers and Dealers Section 15D -- Securities Analysts And Research Reports Section 16 -- Directors Officers and Principal Stockholders Section 17 -- Records and Reports Section 17A -- National System for Clearance and Settlement of Securities Transactions Section 17B -- Automated Quotation Systems for Penny Stocks Section 18 -- Liability for Misleading Statements Section 19 -- Registration Responsibilities and Oversight of Self-Regulatory Organizations Section 20 -- Liability of Controlling Persons and Persons Who Aid and Abet Violations Section 20A -- Liability to Contemporaneous Traders for Insider Trading Section 21 -- Investigations and Actions Section 21A -- Civil Penalties
