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.
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