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AAMS module 12 Regulatory and Ethical Issues for the Investment Professional WITH 100- SURE
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AAMS module 12 Regulatory and Ethical Issues for the Investment Professional WITH 100- SURE ANSWERS
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EUNICEAAMS module 12 Regulatory and Ethical Issues for the
Investment Professional WITH 100% SURE ANSWERS
Terms in this set (26)
This act applies to most new, publicly issued securities. Its purpose is to require the
"registration" of securities with the Securities and Exchange Commission (SEC) by
providing full disclosure in the registration statement of the securities that the issuer
The Securities Act of 1933 or vendor was about to issue. If the SEC finds misleading, incomplete, or inaccurate
information, it will delay the offering until the registration statement is corrected. All
new issues must be accompanied by a prospectus, a detailed summary of the
registration statement.
This act, which established the Securities and Exchange Commission and gave it
enforcement powers for this act, aimed to regulate securities transactions on both
organized exchanges and in over-the-counter markets. This act forbids market
The Securities Exchange Act of 1934
manipulation, deception, misrepresentation of facts, and fraudulent practices. It
requires most broker-dealers and transfer agents, clearing agencies, and self-
regulatory organizations (including securities exchanges) to register with the SEC
The Investment Advisers Act of 1940 wrote into law the fiduciary duty owed by
investment advisers to their clients. This act requires investment advisers to register
The Investment Advisers Act of 1940
with the SEC by filing Form ADV. It also contains certain prohibitions regarding
advertising practices and certain requirements for disclosure.
The Investment Company Act of 1940 subjects both the structure and the operations
of mutual funds to detailed regulation. Mutual funds belong to a class of investment
companies defined in the 1940 act as "management companies," which are further
classified as either diversified or nondiversified. A diversified company is one in
The Investment Company Act of 1940 which at least 75% of the value of its total assets is represented by cash and cash
items (including receivables), government securities, securities of other investment
companies, and other securities. There is also a limit of not greater in value than 5%
of the fund's assets and not more than 10% of the outstanding voting securities of any
one issuer
This act established the Securities Investor Protection Corporation (SIPC) to oversee
The Securities Investor Protection Act of the liquidation of brokerage firms and to insure investors' accounts up to a maximum
1970 value of $500,000 (of which only up to $250,000 can be cash balances) in the case
of bankruptcy of a brokerage firm.
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