Module 16: US Government and State Rules and Regulations
This course provides a comprehensive overview of the federal and state regulations that govern the securities industry, ensuring compliance across different jurisdictions.
- Federal Securities Laws: Understand key federal laws, such as the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940, which regulate the issuance, trading, and advising of securities.
- State Securities Regulations (Blue Sky Laws): Learn about the state-level regulations that govern securities offerings and transactions within individual states, including registration requirements and exemptions.
- Regulatory Enforcement and Compliance: Explore how federal and state agencies, such as the SEC and state securities regulators, enforce rules to protect investors and maintain fair markets.
This course is ideal for professionals seeking to deepen their understanding of both federal and state securities regulations, ensuring they stay compliant in all aspects of their business.
Module 16: US Government and State Rules and Regulations
Members only
Module 16 focuses on U.S. government and state securities laws, essential for passing the Series 7 Exam. It covers key federal legislation, state r...
Membership