Series 53: Federal Securities Laws

Taken from our Series 53 Online Guide

Federal Securities Laws

For the Series 53 exam, you will be required to understand the basic regulatory structure for the municipal securities market. This includes understanding which regulatory agencies oversee municipal securities business and the applicable antifraud laws and regulations. To that end, this chapter will focus on the Securities Act of 1933, the Securities Exchange Act of 1934, and the Securities Investor Protection Act of 1970.

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