Series 65: Exercise

Taken from our Series 65 Online Guide

Exercise

Match each statement below with the correct act

  1. A. 1933 Act
  2. B. 1934 Act
  3. 1. ___ This Act regulates the primary markets for securities.
  4. 2. ___ This Act requires the registration of all nonexempt securities
  5. 3. ___ This Act regulates secondary markets for securities.
  6. 4. ___ This Act established the SEC.

  7. 5. ___ This Act requires broker-dealers to register.
  8. 6. ___ This Act allows the exchanges to

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