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The Securities Act Amendments of 1975 is the federal regulation that established this process.
According to the Securities Act Amendments, neither a municipal securities issuer nor an employee of a municipal securities issuer acting in the course of his official duties shall be deemed to be a municipal securities dealer for the purposes of the Act's regulatory purposes by reason of the purchase or sale of securities. In order to ensure greater financial transparency and accuracy and less fraud or manipulation, the Securities Exchange Act of 1934 (SEA) was developed to regulate securities transactions on the secondary market, after the issue. Companies subject to the Securities Exchange Act and whose securities are held by more than 500 owners are required to submit annual and other periodic reports to the SEC.
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