Series 6: Exercise

Taken from our Series 6 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.

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