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General regulatory requirements

Wall St general regulatory requirements 

The Securities Exchange Act prohibits market manipulation of security prices, with key provisions of the Act including Section 9(a) and Section 10(b). This includes; 

  • Creating “a false or misleading appearance of active trading in any security other than a government security, or a false or misleading appearance with respect to the market for any such security” (1) 
  • Engaging in a series of transactions that creates “actual or apparent active trading” has a material impact on a security’s share price “for the purpose of inducing the purchase or sale” (A)
  • Knowingly spreading false information to materially impact a security’s share price (B).

The above is not an exhaustive list of the Securities Exchange Act provisions that apply to your trading activity. You’re encouraged to seek independent advice before placing orders if unsure as to whether particular conduct may breach the Act. 

The Nasdaq and NYSE Exchange Rules also impose requirements on Market Participants, in maintaining fair and orderly markets, through their conduct relating to order entry and trade execution. This includes the Market Conduct Rules from Nasdaq with application to Market Participants, and the NYSE’s Conduct Rules (Rules 2010 - 7470) for Market Participants.


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Stake is the trading name of Hellostake Limited, a company registered in England and Wales (Company no. 11676409). Hellostake Limited is authorised and regulated by the UK Financial Conduct Authority under the Firm Reference Number 830771. Registered address: 85 Great Portland Street, London, W1W 7LT, United Kingdom.

When you invest, your capital is at risk.

The value of your investments can go down as well as up and you may receive back less than your original investment. Any advice is of a general nature only. As investments carry risk, before making any investment decision, please consider if it’s right for you and seek appropriate independent taxation and legal advice. The information on our website or our mobile application is not intended to be an inducement, offer or solicitation to anyone in any jurisdiction in which Stake is not regulated or able to market its services.

At Stake, we’re focused on giving you a better investing experience but we don’t take into account your personal objectives, circumstances or financial needs. Please view our Terms & Conditions, Privacy Policy and Disclaimers before deciding to use or invest on Stake. By using the Stake website or service in any way, you agree to our Privacy Policy and Terms & Conditions. All financial products involve risk and you should ensure you understand the risks involved as certain financial products may not be suitable to everyone. Past performance of any product described on this website is not a reliable indication of future performance

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