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