Securities Law: Definition, Statutes & Penalties Video


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question 1 of 3

Federal securities laws were enacted in response to which one of the following?

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1. Securities laws are mainly meant to do which one of the following?

2. State securities laws are often referred to as which one of the following?

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About This Quiz & Worksheet

Securities are regulated in the marketplace in a variety of ways. Take this multiple-choice quiz/worksheet and see what you know about financial securities laws with questions in areas like an event that caused these laws to be enacted and the major purpose of these regulations.

Quiz & Worksheet Goals

These points will be addressed:

  • Term that represents state securities laws
  • Agency responsible for federal securities laws
  • Securities act passed in response to large-scale corporate scandals

Skills Practiced

  • Making connections - use your understanding of a major financial event and how it's connected to financial securities laws
  • Knowledge application - use your knowledge to answer questions about the main reason financial securities laws have been put into place and the organization that oversees the securities industry
  • Information recall - access the knowledge you've gained regarding the term for state securities laws

Additional Learning

You can learn more about securities in the accompanying lesson named Securities Law: Definition, Statues & Penalties. Here are some of the main topics you'll be covering:

  • Securities definition
  • Different types of securities
  • Civil and criminal liability
  • Anti-fraud provisions