Regulations & Conduct第 111 / 125 题
The Securities Exchange Act of 1934 is best known for:
a.Registering new issues only
b.Exempting all trading from regulation
c.Creating the SEC and regulating secondary market trading, exchanges, and broker-dealers
d.Setting federal income tax rates
解析
The Securities Exchange Act of 1934 created the Securities and Exchange Commission and governs the secondary market, including exchanges, broker-dealers, reporting by public companies, proxy rules, and antifraud and anti-manipulation provisions. It complements the 1933 Act, which focuses on new issues.
法律依据: Securities Exchange Act of 1934免费刷完整 125 道题库 — 无需注册。
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