Breakdown of Regulations / Acts

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5 Terms

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securities act of 1933

regulation of securities on federal level

2
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uniform securities act

regulation of securities on state level

3
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investment advisers act of 1940

regulation of investment advisers on federal level

4
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uniform securities act USA

regulation of investment advisers and broker-dealers and their agents on state level

5
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securities exchange act 1934

regulation of broker-dealers and their agents on federal level