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The Securities Act of 1934 I) requires full disclosure of relevant information relating to the issue of new securities.
II. requires registration of new securities.
III. requires issuance of a prospectus detailing financial prospects of the firm.
IV. established the SEC.
V. requires periodic disclosure of relevant financial information.
VI. empowers SEC to regulate exchanges, OTC trading, brokers, and dealers.
A) I, II, and III
B) I, II, III, IV, V, and VI
C) I, II, and V
D) I, II, and IV
E) IV, V, and VI
Prospectus
A formal legal document that provides details about an investment offering to the public, often detailing the assets, risks, and objectives of the offering.
SEC
The Securities and Exchange Commission, a U.S. government agency responsible for enforcing federal securities laws and regulating the securities industry.
Securities Act of 1934
A U.S. law enacted to regulate the secondary trading of securities (stocks, bonds, etc.), establishing rules and procedures to prevent fraud and manipulation.
- Comprehend the regulatory landscape of securities markets, including key legislation and the establishment of the SEC.
- Differentiate between key securities acts and their provisions.
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Learning Objectives
- Comprehend the regulatory landscape of securities markets, including key legislation and the establishment of the SEC.
- Differentiate between key securities acts and their provisions.
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