Series 66: Exercise

Taken from our Series 66 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 t

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