National Association of Securities Dealers

A mandatory association of brokers and dealers in the over- the-counter securities business. Created by the Maloney Act of 1938, an amendment to the Securities Act of 1934.³

National Angel Capital Organization

NASDAQ

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Definitioner

Brokers

Licensed individuals or firms, which charge a fee, to raise capital for startup companies from private investors and funds.⁶

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Securities Act of 1934

The federal law that established the Securities and Exchange Commission. The act outlaws misrepresentation, manipulation, and other abusive practices in the issuance of securities. Securities and Exchange Commission: The SEC is an independent, nonpartisan, quasi-judicial regulatory agency that is responsible for administering the federal securities laws. These laws protect investors in securities markets and ensure that investors have access to all material information concerning publicly traded securities. Additionally, the SEC regulates firms that trade securities, people who provide investment advice, and investment companies.³

Securities

Includes all types of equity and debt instruments and rights in and to them.³

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INFOGRAPHICS

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