BSLW1102 Chapter Notes - Chapter 46: Form 10-Q, Williams Act, Financial Industry Regulatory Authority
20 Jun 2016
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A. 1. protect against fraud securities worth the same as the blue sky. A. 2. b) an antifraud provision imposing criminal penalties for violations broker dealer license provisions regulating the persons engaged in securi- ties business. A. 2. c) provisions for the registration of securities including disclosure require- ments with the designated government official. 1996 the dual state and federal system resulted in to duplicate regulation and expenses. Mutual funds and stocks on the new york stock exchange are exempt from state review as well as other stock exchanges identified by the securities and exchange. A. 3. e) state can still burn unlawful suits out though eliminated duplicative registration requirements. A. 3. securities enforcement remedies and penny stock reform act 1990. A. 4. a) authorize sanctions against sec regulated persons for violation of foreign law. A. 5. a) sec given power to deal with market volatility. A. 7. a) reforms regarding accountability enhanced disclosure requirements audi- tor and accounting related provisions in enforcement and liability provisions.
