Regulation

2 Posts
2 Sections
1 Types

October 13, 2024 5 min read Series 7

Understand the Securities Exchange Act of 1934 with Quizzes

Securities Exchange Act Regulation Secondary Markets Insider Trading Antifraud Provisions

Explore the Securities Exchange Act of 1934 with quizzes and sample exam questions, covering its regulation of secondary markets and antifraud provisions for the FINRA Series 7 exam.

September 30, 2024 5 min read Series 6

Understanding and Defining Investment Adviser Criteria

Investment Adviser FINRA Regulation Registration Exemptions

Explore the definition and registration criteria for investment advisers under the 1940 Act, including exclusions and exemptions.