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Zimmerman's Research Guide


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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.

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 SEC Orders 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 www.sec.gov/rules/exempt.shtml.


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

For comments, questions and suggestions, email the author
Copyright 2014 Andrew Zimmerman