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    Security Regulations

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    Summarize what these 3 security regulations are:

    SEC Act of 1933
    SEC Act of 1934
    Investment Company Act of 1940

    What are they and why are they important to know about and understand?

    © BrainMass Inc. brainmass.com February 24, 2021, 2:27 pm ad1c9bdddf
    https://brainmass.com/business/the-role-of-government-and-regulation/security-regulations-22346

    Solution Preview

    1.. Under the Securities Act of 1933, a company that offers or sells its securities must register the securities with the SEC or find an exemption from the registration requirements. The Act provides companies with a number of exemptions. For some of the exemptions, such as rules 505 and 506 of Regulation D, a company may sell its securities to what are known as "accredited investors."

    Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives: require that investors receive financial and other significant information concerning securities being offered for public sale; and it is ...

    Solution Summary

    The expert summarizes the security regulations for SEC Act.

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