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 al

Since you're reading about Series 66: Exercise, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 66
Please Enable Javascript
to view this content!