Series 6 - Investment Company And Variable Contracts Products Representative Exam

Preview Mode

Which federal regulation initially prohibited the use of insider information in making trades?

The Investment Company Act of 1940
A
The Securities Exchange Act of 1934
B
The Securities Act of 1933
C
Regulation D
D

Explanations

The Securities Exchange Act of 1934 was the first federal regulation to prohibit the use of insider information to make trades.

Pricing