SIE practice questioneasySecurities Exchange Act of 1934 - Exchanges
Which act regulates trading on U.S. stock exchanges?
- ASarbanes-Oxley Act
- BSecurities Act of 1933
- CInvestment Company Act of 1940
- DSecurities Exchange Act of 1934✓ Correct answer
Explanation
Why D — Securities Exchange Act of 1934
The Securities Exchange Act of 1934 established the SEC and regulates secondary market trading. The 1933 Act regulates new issues (primary market). The 1940 Act covers investment companies, and Sarbanes-Oxley addresses corporate governance.
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