Series 54: Definitions

Taken from our Series 54 Online Guide

Definitions

As discussed above, the Securities Exchange Act of 1934 is a landmark law that regulates the reselling of securities. The 1934 Act’s mandate to regulate the secondary market covers the financial markets and market participants. These participants include broker-dealers, their repre

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The Solomon material was invaluable in helping me pass this exam. The organization of the content, the tests, the video and lecture material, were all exactly on point. Thank you! (Series 54)

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