SIE practice questionmediumSecurities Exchange Act of 1934
Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934 primarily address:
- AMargin requirements
- BThe registration of new securities
- CRegulation of mutual funds
- DAnti-fraud and anti-manipulation in securities trading✓ Correct answer
Explanation
Why D — Anti-fraud and anti-manipulation in securities trading
10(b) and 10b-5 are anti-fraud/anti-manipulation rules for trading. Registration (B) is covered by the '33 Act. Mutual funds (C) are under the '40 Act. Margin (D) is Reg T.
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