Browse Series 6 Exam Prep
2.2 Securities Exchange Act of 1934
In this section
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Regulation of Secondary Markets
Explore how the Securities Exchange Act of 1934 governs trading in secondary markets, the role of the SEC, and ongoing disclosure obligations for reporting companies.
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Broker-Dealer Registration Requirements and Compliance
Explore the comprehensive guide to broker-dealer registration, including application processes, the role of SROs like FINRA, and compliance essentials under the Securities Exchange Act of 1934.
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Anti-Fraud Provisions: Understanding Section 10(b) and Rule 10b-5
Explore the anti-fraud provisions under the Securities Exchange Act of 1934, focusing on Section 10(b) and Rule 10b-5. Learn about insider trading laws, consequences of violations, and real-world applications.
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