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Sie study guide stuvia - Study guides, Class notes & Summaries

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SIE Study Guide Correct Solutions Graded A+

  • SIE Study Guide Correct Solutions Graded A+

  • Exam (elaborations) • 42 pages • 2023
  • Section 1: Knowledge of Capital Markets - ANSWERS The SEC purpose/mission when created jurisdiction authority - ANSWERSprotect investos, maintin fair orderly & efficient markets, facilitate capital formation by congress in 1934 US federal government enforce federal security laws & create laws that regulate securities industry enforces Securities act 1933/1934, trust indenture act 1939, investment company act 1940, investment advisors act 1940 SROs (Self-Regulatory Organiza...
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SIE Study Guide Questions With Correct Solutions Graded A+

  • SIE Study Guide Questions With Correct Solutions Graded A+

  • Exam (elaborations) • 42 pages • 2023
  • Section 1: Knowledge of Capital Markets - ANSWERS The SEC purpose/mission when created jurisdiction authority - ANSWERSprotect investos, maintin fair orderly & efficient markets, facilitate capital formation by congress in 1934 US federal government enforce federal security laws & create laws that regulate securities industry enforces Securities act 1933/1934, trust indenture act 1939, investment company act 1940, investment advisors act 1940 SROs (Self-Regulatory Organiza...
    (0)
  • $12.99
  • + learn more