Securities Act of 1993 B. Securities Act of 1934 C. Investment Company Act of 19

Question

Securities Act of 1993 B. Securities Act of 1934 C. Investment Company Act of 1940 D. Insider Trading Act of 1988 E. Sarbanes-Oxley Act of 2002 F. Blue Sky Laws G. Mutual fund H. Securities and Exchange Commission I. National Association of Securities Dealers J. The Federal Reserve (the "FED") K. New York Stock Exchange L. NASDAQ M. NYSE Amex N. Trades in smaller unlisted securities O. Federal Industry Regulatory Authority Match the letter above with each question, and show you answer on the line as the left of each question. There is only one answer for each question, but more one question may use the same answer. state laws that control the sale of securities within a state border The full disclosure law for new issuance of stocks Law established the Securities and Exchange Commission Focused on eliminating corporate fraud in the aftermath of Sets margin requirements A trade organization to self-regulate the investment industry A trader in the dealer market OTC Market Law that requires filing of a Form 10-k Investing in a well diversified portfolio of companies

Explanation / Answer

1 - F

2 - H, SEC regulations require full disclosure

3 - B

4 - E

5 - N

6 - J

7 - L

8 - I, National Association of Securities Dealers was responsible for operation of OTC markets

9 - B

10 - G

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