The ______ regulates transfers of securities after the initial sale.
A) Securities Exchange Act of 1934
B) Sherman Antitrust Act of 1890
C) Sarbanes-Oxley Act of 2002
D) Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
E) Securities Act of 1933

Question

Quizplus · Accepted Answer

Whereas the Securities Act of 1933 deals with original offerings of securities, the Securities Exchange Act of 1934 regulates transfers of securities after the initial sale. The 1934 Act, which created the Securities and Exchange Commission, also deals with regulation of securities exchanges, brokers, and dealers in securities.

The ______ Regulates Transfers of Securities After the Initial Sale