Browse SIE Exam Prep
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- 5.1.1 Securities Act of 1933
- 5.1.2 Securities Exchange Act of 1934
- 5.1.3 Investment Company Act of 1940
- 5.1.4 Investment Advisers Act of 1940
- 5.1.5 Securities Investor Protection Act (SIPA)
- 5.1.6 Insider Trading and Securities Fraud Enforcement Acts
- 5.1.7 Sarbanes-Oxley Act
- 5.1.8 Dodd-Frank Wall Street Reform and Consumer Protection Act
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2.2 Market Structure and Function
In this section
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Primary Markets: Understanding the Foundation of Securities Issuance
Explore the intricacies of primary markets, where new securities are created and sold for the first time. Learn about underwriting, regulatory compliance, and the significance of primary markets in capital raising.
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Understanding Secondary Markets: A Comprehensive Guide for SIE Exam Preparation
Explore the intricacies of secondary markets, their functions, types, and regulatory frameworks, essential for mastering the SIE Exam.
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Third and Fourth Markets: Understanding Alternative Trading Venues
Explore the intricacies of the Third and Fourth Markets in securities trading, focusing on their definitions, functions, benefits, and regulatory considerations. Learn how these markets enhance liquidity and efficiency in the financial system.
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Electronic Trading Platforms and Exchanges
Explore the evolution, benefits, and regulatory framework of electronic trading platforms and exchanges in the securities market. Understand ECNs, ATSs, and their impact on market structure and efficiency.
