Securities Acts and Key Laws

In this section

• Securities Act of 1933
  Study registration requirements, prospectus delivery, and exemptions under the Securities Act of 1933.
• Securities Exchange Act of 1934
  Review market regulation, broker-dealer oversight, and reporting obligations under the 1934 Act.
• Investment Company Act of 1940
  Understand how the Investment Company Act regulates mutual funds and other registered investment companies.
• Investment Advisers Act of 1940
  Review the regulatory framework for investment advisers under the Advisers Act.
• Securities Investor Protection Act (SIPA)
  Study SIPA, SIPC coverage, and how customer assets are protected when a broker-dealer fails.
• Insider Trading and Securities Fraud Enforcement Acts
  Review the laws that strengthened enforcement against insider trading and securities fraud.
• Sarbanes-Oxley Act
  Understand the Sarbanes-Oxley reforms aimed at corporate accountability and financial reporting integrity.
• Dodd-Frank Act
  Study the major market, consumer, and systemic-risk reforms introduced by Dodd-Frank.