Series 63: Chapter 5

Chapter 5

Regulation of Securities and Issuers

Thus far in this study guide, we’ve talked mostly about how the Uniform Securities Act regulates the people and firms involved with helping people buy and sell securities, as well as deciding what securities to buy. While this is typically where the exam focuses much of its attention (since you’ll probably be engaged in those activities before you do anything else), questions about the issuers of securities and the securi