16.3 Regulatory Summaries

In this section

• Major Securities Acts: Comprehensive Overview for Series 6 Exam
  Master the key provisions of major securities legislation including the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, and Investment Advisers Act of 1940. Essential for Series 6 Exam success.
• FINRA Rules Overview
  Comprehensive guide to understanding key FINRA rules including Rule 2010, Rule 2111, Rule 2210, Rule 3110, and Rule 4512 for Series 6 Exam preparation.