Series 65: Exercise

Taken from our Series 65 Online Guide

Exercise

Match each act with the correct statement.

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-de

Since you're reading about Series 65: Exercise, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 65
Please Enable Javascript
to view this content!