Thị trường vốnCâu 302 / 398
Which federal law created the Securities and Exchange Commission (SEC) and gave it authority over the secondary market?
a.The Securities Act of 1933
b.The Trust Indenture Act of 1939
c.The Investment Company Act of 1940
d.The Securities Exchange Act of 1934
Giải thích
The Securities Exchange Act of 1934 established the SEC and regulates the secondary market, including exchanges, broker-dealers, and reporting requirements for public companies. The Securities Act of 1933 governs new issues in the primary market.
Trích dẫn luật: Securities Exchange Act of 1934Luyện 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?
- An investor buys 100 shares of an already-public company from another investor on an exchange. This transaction takes place in which market?
- What is the primary purpose of the Securities Act of 1933?
- 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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