Series 7: 12.1.3 The Securities Act Of 1933

Taken from our Series 7 Top-off Online Guide

12.1.3 The Securities Act of 1933

The Securities Act of 1933 (also called the 1933 Act or Paper Act) has two main purposes: (1) to require that companies publicly disclose all relevant financial information about their securities prior to offering them for sale and (2) to prohibit fraud and deceit in the marketing of securities

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I am still so giddy that I passed my Series 7 on 1/31. I truly cannot believe it. I took the 7 three times in 2019 utilizing Kaplan study materials and didn't feel good going into the tests any of the times. So shockingly I failed all three times by a lot. My highest score was a 68%. I used Solomon for my 51 in September (passed on the first try) so I thought I could try it for my 7 even though it is the hardest securities test I have taken. I felt so good going into the testing center and I passed!!! I am so grateful to have found your materials. They have been incredibly helpful and I am able to understand all the material covered in the books. I still am in shock that I passed. Now off to the 24!

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