Series 63: Chapter 11

Taken from our Series 63 Online Guide

CHAPTER 11

Federal Securities Acts

It’s worth learning the origins of the major federal securities laws because understanding the origins and the authors’ intentions helps clarify the meaning of these legal landmarks.

The laws that govern the securities industry on the federal level include the Securities Act of 1933, the Securities Exchange Act of 1934, and other key pieces of legislation. The framework for these laws was created after the greatest stock market crash in U.S. history. The impetus for these laws was the fact that individual invest

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