FINRA Securities Industry Essentials Exam (SIE) SIE Question # 3 Topic 1 Discussion

FINRA Securities Industry Essentials Exam (SIE) SIE Question # 3 Topic 1 Discussion

SIE Exam Topic 1 Question 3 Discussion:
Question #: 3
Topic #: 1

The primary market is regulated by the SEC under which of the following acts?


A.

The Securities Act of 1933


B.

The Securities Exchange Act of 1934


C.

The Investment Advisers Act of 1940


D.

The Investment Company Act of 1940


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