Term
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Definition
| The securities exchange act of 1934 |
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Term
| Who must be registered under the securities exchange act of 1934 |
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Definition
| Broker dealers and securities exchanges |
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Term
| Who is exempt from listing with sec |
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Definition
| Us govt. Us govt agencies. Municipal issuers and non profit orgs. Commercial paper and bankers acceptances |
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Term
| Who is an accredited investor |
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Definition
| Banks and savings loans. Insurance companies. Investment companies. Certain large pension plans. Wealthy individuals |
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Term
| The securities exchange act of 1934 |
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Definition
Registration and regulation of securities exchanges
Reg and reg of broker dealers
Formation of finra |
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Term
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Definition
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