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