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5 Cards in this Set

  • Front
  • Back
The primary purpose of Securities Act of 1933 is to regulate:
new issues (corp)
The Securities Exchange Act of 1934 did:
created the SEC (Securities & Exchange Commission) and provides for the regulation of credit & exchanges
Which is NOT a self-regulatory organization (SRO):
The SEC- Is a branch of the federal government and is NOT and SRO
What ARE self-regulatory organizations (SRO):
FINRA, CBOE, MSRB
Registered representatives who do not complete their regulatory element training within 120 days on their anniversary date:
Are placed on inactive status