Which One of the Following Regulates the Subsequent Trading of Securities

question 16

Multiple Choice

Which one of the following regulates the subsequent trading of securities through brokers and exchanges?

• A) The Securities Act of 1933.
• B) The Securities Exchange Act of 1934.
• C) The Investment Company Act of 1940.
• D) The Investment Advisers Act of 1940.
• E) The Sarbanes-Oxley Act of 2002.

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Definitions:

Trade Unions

Organizations formed by workers from related fields that aim to protect their collective interests and improve working conditions, wages, and benefits through collective bargaining.

Social Harmony

The state of peaceful coexistence and cooperation within a society, where conflicts are minimized and collective welfare is prioritized.

Industry Unions

Labor organizations that represent workers across an entire industry or sector, focusing on collective bargaining and rights for all workers within that industry.

General Unions

Labor unions that represent workers from various industries and occupations, as opposed to those focusing on a specific trade or profession.