18. Securities Regulations and Regulatory Organizations

In this section

• The Securities Act of 1933: Key Regulations for Issuing New Securities
  Explore the Securities Act of 1933, its role in regulating new securities issuance, registration requirements, and investor protection. Essential for Series 7 Exam preparation.
  • Securities Act of 1933: Purpose and Requirements
    Explore the Securities Act of 1933, its purpose, requirements, and impact on the securities market. Understand the role of the SEC, registration processes, and the importance of full disclosure.
  • Registration of New Issues
    Comprehensive Guide to the Registration of New Issues under the Securities Act of 1933
  • Exempt Securities and Transactions in the Securities Act of 1933
    Explore exempt securities and transactions under the Securities Act of 1933. Learn about government securities, municipal securities, and Regulation D private placements.
• The Securities Exchange Act of 1934: Key Regulations and Compliance for Series 7 Exam
  Explore the Securities Exchange Act of 1934, its impact on the secondary market, and the creation of the SEC. Prepare for the Series 7 Exam with detailed insights into this fundamental regulation.
  • Secondary Market Regulation
    Explore the comprehensive guide to Secondary Market Regulation under the Securities Exchange Act of 1934, focusing on oversight, registration requirements, and obligations of broker-dealers and exchanges.
  • Securities Exchange Act Reporting Requirements
    Explore the comprehensive reporting requirements under the Securities Exchange Act of 1934, including Form 10-K, Form 10-Q, and Form 8-K, essential for Series 7 Exam preparation.
  • Insider Trading Rules: Understanding and Compliance
    Explore the intricacies of insider trading rules, including definitions, Rule 10b-5 provisions, penalties, and real-world examples. Essential for Series 7 Exam preparation.
• Other Key Securities Laws: Understanding Essential Securities Regulations
  Explore the essential securities laws that shape the U.S. financial industry, including the Investment Company Act of 1940, Investment Advisers Act of 1940, Sarbanes-Oxley Act, and Dodd-Frank Wall Street Reform Act. Learn about their impact on securities regulation, compliance, and professional practice.
  • Investment Company Act of 1940: Comprehensive Guide for Series 7 Exam
    Explore the Investment Company Act of 1940, its regulations, requirements, and compliance considerations for mutual funds and closed-end funds. Essential knowledge for Series 7 Exam preparation.
  • Investment Advisers Act of 1940: Comprehensive Guide for Series 7 Exam Preparation
    Master the Investment Advisers Act of 1940 for the Series 7 Exam. Understand key regulations, registration requirements, fiduciary duties, and exemptions for investment advisers.
  • Sarbanes-Oxley Act: Key Provisions and Impact on Corporate Governance
    Explore the Sarbanes-Oxley Act, a pivotal law enhancing corporate accountability and financial transparency, crucial for the Series 7 Exam.
  • Dodd-Frank Wall Street Reform Act: Comprehensive Guide for Series 7 Exam
    Explore the Dodd-Frank Wall Street Reform Act's impact on financial stability, systemic risk regulation, consumer protection, and derivatives oversight. Essential knowledge for Series 7 Exam success.
• Regulatory Organizations in the Securities Industry
  Explore the roles and responsibilities of key regulatory organizations in the U.S. securities industry, including FINRA, SEC, MSRB, and more. Understand their impact on market integrity, investor protection, and compliance.
  • Understanding the Financial Industry Regulatory Authority (FINRA)
    Explore the comprehensive role of FINRA in regulating the securities industry, including oversight responsibilities, enforcement of rules, and administration of qualification exams.
  • Securities and Exchange Commission (SEC): Federal Securities Regulation Authority
    Explore the role, functions, and powers of the Securities and Exchange Commission (SEC) in regulating U.S. securities markets. Learn about its enforcement actions, regulatory frameworks, and impact on the financial industry.
  • Municipal Securities Rulemaking Board (MSRB)
    Explore the Municipal Securities Rulemaking Board (MSRB) and its role in regulating the municipal securities industry, protecting investors, and ensuring fair practices.
  • Federal Reserve Board (FRB)
    Explore the role of the Federal Reserve Board (FRB) in monetary policy and securities regulation, including its influence on bank holding companies and margin requirements.
• Compliance and Enforcement in Securities Regulations
  Explore the critical aspects of compliance and enforcement in the securities industry, focusing on the importance of regulatory adherence and the consequences of non-compliance.
  • Investigations and Disciplinary Actions in Securities Regulations
    Explore the comprehensive process of investigations and disciplinary actions in the securities industry, including initiation, examination, enforcement actions, and potential penalties. Learn about the rights of respondents and key regulatory frameworks.
  • Arbitration and Mediation Procedures in Securities Industry Dispute Resolution
    Explore the intricacies of arbitration and mediation procedures in the securities industry, focusing on FINRA's dispute resolution mechanisms. Understand the processes, benefits, and implications for firms, employees, and customers.