Chapter Six
Federal Securities Acts
(There are no exam questions specifically designated to test material in this section. Instead, this chapter provides necessary background information to help you answer other questions.)
The laws that govern the securities industry at the federal level include the Securities Act of 1933, the Securities Exchange Act of 1934, and other key pieces of legislation. The framework for these laws was created after the greatest stock market crash in U.S. history. As a result of that crash, investors lost a