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series 66

Federal Securities Laws

QuestionAnswer
Securities Act of 1933 entails What? Regulates the registration of new issues & includes the rule of full & fair disclosure.
The SEC does not approve, judge, or recommend the security. The sole purpose relating to the Act of 1933 is? To register new securities.
Securities Exchange Act of 1934 entails what? Regulates the trading of outstanding securities(Publicly available}
All national securities markets & broker-dealers must register with the SEC. True or False? True.
What Exchange Act requires the registration of exchange members,OTC broker-dealers, and individuals that effect trades of securities with the public? The Securities and Exchange Act of 1934
The Act of 1934 includes rules to prevent manipulation of securities. True or False? True.
Investment Adviser Act of 1940 entails what? Provides for the regulation and registration of investment advisors with the SEC.
Securities Investor Protection Act of 1970 entails what? Established the Securities Investor Protection Corporation {SIPC}.
The SIPC provides protection for who? The customers of bankrupt securities firms.
Created by: Doylestown
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