Module 16: U.S. Government and State Rules and Regulations

In Module 16, you’ll explore the essential federal and state securities laws that regulate the financial markets in the United States. This module covers key legislation, such as the Securities Act of 1933, Securities Exchange Act of 1934, and other significant regulatory acts, providing a comprehensive understanding of the legal landscape affecting financial professionals. Understanding these regulations is critical for preparing for the Series 7 Exam and ensuring compliance in all aspects of securities trading and investment advisory.

What You Will Learn:

• Federal Securities Legislation: Gain insights into the foundational laws governing securities, including the Securities Act of 1933 and the Securities Exchange Act of 1934.
• Investment Company and Advisers Acts: Understand the regulations under the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
• Securities Investor Protection: Learn about the Securities Investor Protection Act (SIPC) and its role in protecting investors.
• Anti-Fraud Legislation: Dive into the Insider Trading and Securities Fraud Enforcement Act of 1988 and other anti-fraud measures.
• Sarbanes-Oxley Act: Explore the requirements and implications of the Sarbanes-Oxley Act for corporate governance and financial reporting.
• Penny Stock Rules and Compliance: Understand regulations surrounding penny stocks, including the Penny Stock Cold-Calling Rules.
• State Securities Regulations: Learn about the Uniform Securities Act (USA) and its impact on state-level securities regulation.
• National Market System Regulations: Study the National Market System (Regulation NMS) and its impact on trading transparency and fairness.

Why Take This Module? This module is crucial for anyone preparing for the Series 7 Exam, as it covers the essential rules and regulations needed to understand the legal framework governing the securities industry. It provides a comprehensive overview of federal and state laws, helping you to ensure compliance and avoid regulatory pitfalls in your career.

More Information:

• Membership Access Only: This module is exclusively available to Finra Exam Mastery members. Enroll now to gain access to this and other Series 7 modules.
• Expert-Guided Learning: Learn from industry professionals with extensive experience in regulatory compliance.
• Lifetime Access: Join today for lifetime access to this module and future updates.

Master the complexities of U.S. securities regulations to enhance your career and ensure regulatory compliance at all levels.

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Finra Exam Mastery