Series 7: 12.1.3 The Securities Act Of 1933

Taken from our Series 7 Top-off Online Guide

12.1.3 The Securities Act of 1933

The Securities Act of 1933 (also called the 1933 Act or Paper Act) has two main purposes: (1) to require that companies publicly disclose all relevant financial information about their securities prior to offering them for sale and (2) to prohibit fraud and deceit in the marketing of securities

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