Federal Securities Laws
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each of the black spaces below before clicking
on it to display the answer.
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| Securities Act of 1933 entails What? | Regulates the registration of new issues & includes the rule of full & fair disclosure.
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| The SEC does not approve, judge, or recommend the security. The sole purpose relating to the Act of 1933 is? | To register new securities.
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| Securities Exchange Act of 1934 entails what? | Regulates the trading of outstanding securities(Publicly available}
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| All national securities markets & broker-dealers must register with the SEC. True or False? | True.
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| 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
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| The Act of 1934 includes rules to prevent manipulation of securities. True or False? | True.
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| Investment Adviser Act of 1940 entails what? | Provides for the regulation and registration of investment advisors with the SEC.
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| Securities Investor Protection Act of 1970 entails what? | Established the Securities Investor Protection Corporation {SIPC}.
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| The SIPC provides protection for who? | The customers of bankrupt securities firms.
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