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FINRA Series 6

Category - Series 6

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Which of the following established the requirement that insiders report their trading activities to the SEC?

the Securities Act of 1933
Regulation D
Regulation I-N
the Securities Exchange Act of 1934

Explanation

Answer: D - The Securities Exchange Act of 1934 established the requirement that insiders report their trading activities to the SEC. The Securities Act of 1933 deals with new issues, and Regulation D deals with private placements. There is no Regulation I-N.

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FINRA Series 6

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