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Securities regulation

1. What is the difference between the 1933 Act and the 1934 Act? Which one is more important?

2. What is suitability? What are the problems created by suitability for brokers advising clients about investments?

3. Which organization is more important in regulating the securities industry: the SEC or FINRA? Why

4. Suppose there were no securities regulations. In particular, companies would not have to disclose financial results and insider trading would be legal. What would be the effect on stock prices?