SIE practice questionhardSecurities Exchange Act of 1934
Which of the following is NOT a reporting requirement under the Securities Exchange Act of 1934?
- AFiling of annual and quarterly reports (10-K, 10-Q)
- BRegistration of new securities before initial offering✓ Correct answer
- CInsider reporting of trades (Forms 3, 4, 5)
- DRegistration of exchanges and broker-dealers
Explanation
Why B — Registration of new securities before initial offering
Registration of new securities is under the 1933 Act, not the 1934 Act. The other choices are part of 1934's ongoing reporting requirements.
Turn it into reps
Reading one answer is not the same as being ready
Lucky the Banker is a free practice app with 1,867+ SIE questions, weak-area tracking, and timed mock exams. No credit card, no paywall.
Spot an error in this question or explanation? Tell us — we fix these fast.
Related Capital Markets & Offerings questions
- A private placement under Regulation D would most likely be purchased through which type of account?
- Which security is generally exempt from registration under the Securities Act of 1933?
- Which account might be used to hold securities sold in compliance with SEC Regulation S?
- Regulation A+ allows eligible companies to:
- A new issue offered under Regulation A+ may be purchased in which type of account?
- Regulation D primarily covers which type of securities offering?
- A corporate issuer wants to raise capital in the U.S. public markets. Under the Securities Act of 1933, they must:
- Which of the following is required to register as a broker-dealer under the Securities Exchange Act of 1934?