Recent federal legislation affecting the securities business

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1935
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Virginia Agricultural and Mechanical College and Polytechnic Institute
Abstract

The object in writing this thesis is to present, in compact form, a wholesome discussion of the legislation, affecting the securities business, passed by Congress since March 4, 1933, and presenting this information in a manner that may be easily understood by a student of finance. The two Acts which changed completely the complexion of the securities business were: The Securities Act of 1933 as Amended in 1934 and the Securities Exchange Act of 1934.

The scope of the work is divided into three chapters: Chapter One, gives a brief resume of the decade prior to the enactment of the two Acts discussed; Chapter Two, discusses The Securities Exchange Act of 1934; Chapter Three is a review of The Securities Act of 1933 as Amended in 1934.

The procedure used in the discussion of these Acts is in the form of a historical sketch of conditions and events leading up to their enactment, a brief summary of each Act, favorable and unfavorable discussions of the Acts, and conclusions.

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