Bellow Is a List of Federal Securities Laws Administered by the SEC

bellow is a list of federal securities laws administered by the SEC.
Required
For each securities law listed, select the description that applies.
-Securities Act of 1933

A) Requires public utility holding companies to register with the SEC.
B) Regulates open-end mutual funds.
C) Governs trading in securities once they are issued and outstanding.
D) Insures customer accounts held by brokers.
E) Regulates the public offering of securities, generally prohibiting the offering and sale of securities unless they are registered with the government.
F) Requires a formal agreement specifying the rights of bondholders.
G) Requires that those who provide paid advice to the public concerning securities must register with the SEC.
H) Exempts emerging growth companies from certain SOX reporting requirements.
I) The SEC can seek fines of up to three times the profits gained from illegal activities covered by this regulation.
J) Reminds the SEC of its ability to suspend or modify accounting standards.
K) Substantially expanded the SEC's role in monitoring financial services markets.
L) Requires companies to maintain accurate accounting records and maintain a system of effective internal accounting controls.
M) Requires auditor evaluation of internal controls and management certification of financial statements filed with the SEC.
N) Provides protection against lawsuits stemming from certain financial statement predictions.