Series 7: 17.6. Regulating Securities Trading

Taken from our Series 7 Online Guide

17.6. Regulating Securities Trading

In response to the Great Depression, the Securities Exchange Act of 1934, also called the Exchange Act, defined a new set of rules to guide securities trading, and it created the Securities and Exchange Commission (SEC) to administer and enforce its rules. In addition, the Act allowed U.S. securities exchanges to regulate themselves, under the condition that they register with the SEC and operate within the guidelines established by the

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