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-dealer

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