FINRA SIE Outline questions with correct answers

The Securities Act of 1933 CORRECT ANSWER The Securities Act of 1933 focused on greater transparency for investors After the stock market crash of 1929, it was passed into law to protect investors. Greater financial transparency and accuracy and less fraud or manipulation. The legislation had two main goals: to ensure more transparency in financial statements so investors could make informed decisions about investments; and to establish laws against misrepresentation and fraudulent activities in the securities markets. obligations to Your Firm CORRECT ANSWER FORM UPDATES OUTSIDE BUSINESS ACTIVITIES BOOKS AND RECORDS PROFESSIONAL DESIGNATIONS Personal Securities Accounts and Investments Away From Your Firm Securities Transactions Away From Your Firm IPO's CONFLICTS OF INTEREST GIFTS AND GRATUITIES ADVERTISING REQUIREMENTS