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4 Cards in this Set
- Front
- Back
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NYSE was founded in
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1792
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Securities Act of 1933
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Covered new issue in primary markets; IPOS; Full Disclosure; Prospectus; Red Herring
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Securities Act of 1934
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Covered trading in secondary markets. Formed the SEC; Antifraud Rules; Margin: Regulation T; Registers People (Exchanges, Firms, Individuals).
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Maloney Act of 1938
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Enabled the creation of non-exchange SROs.
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