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Wall St general regulatory requirements
wall stU.S. markets are governed by strict regulations to prevent market manipulation and ensure trading remains fair and transparent. As an investor trading on Wall St, it’s important to understand what’s prohibited – and to seek independent advice if you’re ever unsure.
Key regulations under the Securities Exchange Act
The Securities Exchange Act of 1934 prohibits manipulation of security prices. Some key provisions include:
Section 9(a):
Prohibits actions that create a false or misleading appearance of active trading or market activity in any security (excluding government securities).-
Section 10(b):
Prohibits:Engaging in trades that appear to create active trading with the intent to influence price
Knowingly spreading false or misleading information to materially impact a security’s price
These are just some of the rules that may apply. If you’re unsure whether an order or strategy could breach the Act, it’s best to seek professional guidance before trading.
Exchange-level conduct rules
Both the Nasdaq and NYSE exchanges impose additional rules on Market Participants to maintain fair and orderly markets. This includes:
Nasdaq Market Conduct Rules – governing order entry and trading behaviour
NYSE Conduct Rules (2010–7470) – outlining standards for responsible trade execution and market interaction
Together, these regulations are designed to protect all participants and support the integrity of U.S. financial markets.
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