Thị trường vốnCâu 301 / 398
What is the primary purpose of the Securities Act of 1933?
a.To regulate the secondary trading of securities on exchanges
b.To create the Securities and Exchange Commission
c.To require full and fair disclosure through registration of new securities offered to the public
d.To insure investors against losses in their brokerage accounts
Giải thích
The Securities Act of 1933, often called the 'Paper Act' or 'Prospectus Act,' governs the primary market by requiring issuers to register new public offerings and provide investors with a prospectus. The Securities Exchange Act of 1934 later created the SEC and regulates the secondary market.
Trích dẫn luật: Securities Act of 1933Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- In which market does an issuer sell newly created securities directly to investors and receive the proceeds of the sale?
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- Which federal law created the Securities and Exchange Commission (SEC) and gave it authority over the secondary market?
- A company is selling its shares to the public for the very first time. This event is best described as a(n):
- In a firm-commitment underwriting, what role does the investment bank (underwriter) take on?
- Under a best-efforts underwriting, what happens to shares that the syndicate cannot sell?
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