Series 63: Exercise

Exercise

Match the act to the correct statement

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 regulate themselves.

Answers: 1. A; 2. A; 3. B; 4. B; 5. B; 6. B