Series 51: Exercise

Taken from our Series 51 Online Guide

Exercise

Match each statement below with the (a) 1933 Act or (b) 1934 Act

  1. 1. This Act regulates the primary markets for securities.
  2. 2. This Act requires the registration of all non-exempt securities.
  3. 3. This Act regulates secondary markets for securities.
  4. 4. This Act established the SEC.
  5. 5. This Act requires broker-dealers to register.
  6. 6. This

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