Series 51: Exercise

Exercise

Match the Act or entity to its description below

1. A. Open-end management company
2. B. Municipal bonds
3. C. Securities Exchange Act of 1934
4. D. Investment Company Act of 1940
5. E. Securities Investor Protection Act of 1970
6. F. MSRB
7. G. FINRA
8. H. Securities Act of 1933
9. 1. _____ Creates rules, subject to SEC approval, for the municipal securities industry
10. 2. _____ Regulates secondary markets for securities and established the SEC
11. 3. _____ Municipal fund securities are exempt from its rules
12. 4. _____ Helps enforce MSRB rules for broker-dealers
13. 5. _____ Enacted to protect broker-dealer customers, it creates a limited insurance fund to reimburse investors for lost assets
14. 6. _____ Requires the registration of all non-exempt securities and proh