About This Chapter
Federal Laws & Regulations in the Securities Industry - Chapter Summary
Our instructors can help refresh your existing understanding of different federal laws and regulations linked to the securities industry. Study the lessons to get reacquainted with the Securities Act of 1933, Investment Company Act of 1940 and more. Once you've finished this chapter, you will be able to:
- Describe Rule 144 and Section 11 of the Securities Act of 1933
- Outline rules of the Securities Exchange Act of 1934
- Share the rules and exceptions of the Investment Company Act of 1940
- Summarize the Investment Advisers Act of 1940
This chapter offers a self-paced format that lets you study on your own terms while providing the support you need to confidently answer questions on your exam. Review one, several or all lessons in this chapter as many times as you desire and during the timeframes you choose. Use our short quizzes to confirm your knowledge of each lesson. If you feel unsure that you fully comprehend any details presented in this chapter, don't hesitate to reach out to our experts for quick answers.
1. Securities Act of 1933: Rule 144 & Section 11
Finances can be a tricky subject, but in 1933, Congress passed legislation to help with that. In this lesson, we'll explore the Securities Act of 1933 and see how this changed American finance.
2. Securities Exchange Act of 1934: Rules
The Securities Exchange Act of 1934 created the Securities and Exchange Commission, a government agency. This lesson explains how the SEC writes rules to protect investors and create confidence in the securities industry.
3. Investment Company Act of 1940: Summary, Rules & Exemptions
The Investment Company Act of 1940 was created through an act of Congress to require investment company registration and regulate the product offerings issued by investment companies in the public market. In this lesson we discuss the purpose, background, and scope of the Investment Company Act
4. Investment Advisers Act of 1940: Definition & Summary
This lesson provides an overview of the Investment Adviser Act of 1940. It includes a discussion of its origins, provisions, and the organizations and individuals covered by the Act.
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Other chapters within the SIE Exam Study Guide course
- Regulatory Entities & Agencies
- Market Participants & Structure
- Federal Reserve & Market Impacts
- Economic Factors
- Equity Securities
- Debt Instruments
- Options in the Financial Industry
- Investment Companies & Packaged Products
- Municipal Fund Securities
- DPPs, REITs & Hedge Funds
- Exchange-Traded Products (ETPs)
- Overview of Investment Risks
- Trading Orders & Strategies
- Investment Returns & Trade Settlement
- Corporate Actions
- Customer Account Types & Registrations
- Anti-Money Laundering (AML)
- Books, Records & Privacy in Finance
- Public Communications & Suitability Requirements
- Prohibited Activities in the Financial Industry
- Regulatory Framework in the Security Industry