Review Topics
Practice Exams
Dancing silently in your chair = appropriate celebration. Jabbing your pencil in the air and yelling "IN YOUR FACE, ETS" = not so much.

Securities Exchange Act of 1934

Dashboard > Opening and Servicing Customer Accounts > Securities Exchange Act of 1934

Securities Exchange Act of 1934

The Securities Exchange Act of 1934 is all about disclosure and rules around stocks already trading. 

You can express opinions about stocks but you can’t do the equivalent of yelling “Fire!” in a crowded theater. Most importantly, the ’34 Act created the SEC, the people who completely missed Madoff. For years prior to Bernie, however, the SEC was a well-run organization and it was a kind of “practices clearinghouse” which gave broader rules for the courts to later define with more granularity...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

Next: Regulation T and Regulation U  
  Prev: FINRA Code of Arbitration Procedure