Explore the pivotal role of the Securities and Exchange Commission (SEC) in regulating U.S. securities markets, ensuring investor protection, and maintaining market integrity.
Master the Investment Advisers Act of 1940 for the Series 7 Exam. Understand key regulations, registration requirements, fiduciary duties, and exemptions for investment advisers.
Master the intricacies of private placements and regulations with our detailed guide. Understand Regulation D, accredited investor criteria, and compliance requirements to excel in the Series 7 Exam.
Explore the penalties and sanctions for financial crimes in the securities industry, including fines, imprisonment, and loss of licenses. Learn about high-profile enforcement cases and compliance obligations.
Explore the intricacies of insider trading, its legal framework, penalties, and responsibilities of securities professionals. Learn how to identify and prevent insider trading violations.