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Exchange Act of 1934

The Exchange Act of 1934 is generally called the “Exchange Act” or the “’34 Act.” The Act was originally published as 48 Stat. 881 and is codified at 15 USC 78a-78jj.

Legal Resources

The text of the Act is published in the CCH Federal Securities Law Reporter, the USCA and the USCS, CCH’s Municipal Securities Rulemaking Board Manual (unannotated), Sommer’s Securities Primary Law Sourcebook, the Appeal Securities Act Handbook, and in many other texts. An updated edition is posted free in the Securities Lawyer’s Deskbook. The Act is searchable on Lexis, Westlaw and LOIS.

For an explanation of the Act, see Sommer’s Federal Securities Exchange Act of 1934, the Federal Securities Law Reporter, Loss and Seligman’s Securities Regulation or any other good securities regulation treatise.

Exemptive Orders and Applications: Section 36 of the ’34 Act authorizes the the SEC to issue Orders exempting companies from the requirements of the Act. The SECOrders granting exemptions are published as SEC Releases in the SEC Docket. Releases are available electronically on Lexis, Westlaw (FSEC-RELS), and the electronic edition of the Federal Securities Law Reporter available through CCH’s subscription-based Intelliconnect. If you need to see the original image, you can (a) ask Thomson Reuters Business Law Research (800-669-1154) to load them onto LIVEDGAR for you or (b) hire a document retrieval company to get copies from the SEC for you.

The Applications companies file with the SEC to request exemption from the Act are available on LIVEDGAR; coverage is comprehensive starting September 9, 1999 and highly selective before then. Alternatively, you can ask Westlaw Business (800-669-1154) or another SEC document retrieval company to get copies for you from the SEC.

Information on how to prepare an exemption application is posted on the SEC Web site

In general, United States legislation about Exchange Act includes dozens of pieces of federal legislation; for example:

See Also

Federal Securities Law Reporter
Securities Laws
Securities and Exchange Commission
United States Code

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This entry about Exchange Act has been published under the terms of the Creative Commons Attribution 3.0 (CC BY 3.0) licence, which permits unrestricted use and reproduction, provided the author or authors of the Exchange Act entry and the Lawi platform are in each case credited as the source of the Exchange Act entry. Please note this CC BY licence applies to some textual content of Exchange Act, and that some images and other textual or non-textual elements may be covered by special copyright arrangements. For guidance on citing Exchange Act (giving attribution as required by the CC BY licence), please see below our recommendation of "Cite this Entry".

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  • Article Name: Exchange Act
  • Author: International
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This entry was last updated: May 15, 2016

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