Exam (elaborations)
SIE Regulations Exam Study Questions and Answers with Complete Solutions 2024 Graded A
- Module
- Institution
Securities Act of 1933 - The first major federal law regulating the securities industry. Focuses on the PRIMARY MARKET It requires firms issuing new stock in a public offering to file a registration statement with the SEC. Securities Act of 1934 - A law governing the SECONDARY trading of ...
[Show more]