Practice Quiz

FINRA Series 7

Category - Series 7

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The general purpose of the Securities Act of 1933 is to:
  1. regulate the activities of investment advisers
  2. regulate the sale of securities on national exchanges
  3. provide for disclosure of information about new securities offerings
  4. provide for disclosure of the financial condition of underwriters
Explanation
Answer: C - provide for disclosure of information about new securities offerings. The 1933 act is primarily concerned with registration and disclosures relating to new securities.
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