Series 7: Exercise

Exercise

Match the term to its description.

1. A. Municipal bonds
2. B. Securities Exchange Act of 1934
3. C. Investment Company Act of 1940
4. D. MSRB
5. E. FINRA
6. F. Securities Act of 1933
7. G. Securities Investor Protection Act of 1970
8. 1. _____ Creates rules, subject to SEC approval, for the municipal securities industry.
9. 2. _____ Regulates secondary markets for securities and established the SEC.
10. 3. _____ Municipal fund securities are exempt from its rules.
11. 4. _____ Helps enforce MSRB rules for broker-dealers.
12. 5. _____ Enacted to protect broker-dealer customers, it creates a limited insurance fund to reimburse investors for lost a