Series 14: Exercise

Taken from our Series 14 Online Guide

Exercise

Match each statement below with the correct Act.

A.1933 Act

B.1934 Act

1._____ This Act regulates the primary markets for securities.

2._____ This Act requires the registration of all nonexempt securities.

3._____ This Act regulates secondary markets for securities.

4._____ This Act established the SEC.

5._____ This Act requires broker-dealers to register.

6._____ This Act allows the exchanges to regulate them

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