Chapter 3: Securities Act of 1933 and 1934

In this section

• Securities Act of 1933
  • Understand the Securities Act of 1933: Purpose and Scope
    Explore the objectives of the Securities Act of 1933 in regulating new securities issues, ensuring transparency, and preventing fraud in the primary market.
  • Master the Registration Process Under Securities Laws
    Dive into the registration process for securities, focusing on SEC filings and the significance of full disclosure for compliance.
  • Mastering Exempt Securities & Transactions: A Guide
    Learn about exempt securities and transactions under The Securities Act of 1933, including gov securities, bank securities, and private placements.
• Securities Exchange Act of 1934
  • Comprehensive Guide to the Regulatory Framework for Secondary Markets
    Explore the Securities Exchange Act of 1934's role in regulating broker-dealers, exchanges, and maintaining fair markets.
  • Master Reporting Requirements for Public Companies
    Understand the reporting obligations for public companies, including 10-Ks and 10-Qs, and the significance of timely disclosures.
  • Navigate Securities Fraud Laws: Key Provisions Explained
    Understand key anti-fraud securities provisions like Rule 10b-5, prohibiting insider trading and manipulative practices. Explore legal and ethical impacts.