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Securities Industries Essentials Exam > Regulations > Flashcards

Regulations Flashcards

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SIE Exam flashcards
1
Q

Securities Act of 1933

A

Also known as the “Truth in Securities” law, the 1933 Act, and the Federal Securities Act—requires that investors receive financial information from securities being offered for public sale.

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Securities Industries Essentials Exam (2 decks)

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