Series 6 - Investment Company And Variable Contracts Products Representative Exam

Preview Mode

Municipal securities are subject to the antifraud provisions of which securities regulation?

The Securities Act of 1933
A
The Securities Exchange Act of 1934
B
The Investment Company Act of 1940
C
SEC Rule 134
D

Explanations

Although municipal securities are exempt from the registration requirements of the Securities Act of 1933, they are still subject to the antifraud provisions of the Securities Exchange Act of 1934.

Pricing