Series 7: Exercise

Taken from our Series 7 Top-off 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.

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