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Ch 1: Federal Laws & Regulations in the Securities Industry

About This Chapter

Improve your ability to excel on a test covering federal laws and regulations in the securities industry by studying this fun chapter. Short lessons and mini quizzes make it easy to effectively strengthen your knowledge of important concepts.

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.

Chapter Practice Exam
Test your knowledge of this chapter with a 30 question practice chapter exam.
Not Taken
Practice Final Exam
Test your knowledge of the entire course with a 50 question practice final exam.
Not Taken

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