Practice Quiz

FINRA Series 7

Category - Series 7

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The Securities Act of 1933 provides for:
  1. extension of credit in the securities industry
  2. establishment of the Securities and Exchange Commission
  3. regulation of new issues of securities
  4. all of the above
Explanation
Answer: C - regulation of new issues of securities. The first two choices are covered in the Securities and Exchange Act of 1934.
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