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12 January, 15:33

The main purpose of the Securities Exchange Act of 1934 is to regulate (A) the sale of new issues, prospectuses, and disclosures (B) the distribution and sale of investment companies (C) the issuance of Treasury securities to the public (D) broker/dealers and markets on which securities trade

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  1. 12 January, 15:37
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    The answer is D. to regulate broker/dealers and markets on which securities trade

    Explanation:

    The principles of securities are based on these core objectives;

    1. Protecting investors by making sure there is full, accurate and timely disclosure of financial statement, risk and other information which is material to investors' decision.

    2. Ensuring that markets are fair, efficient and transparent by prohibiting external auditors froma providing certain non-audit services to the company they audit.

    Nothing concerns Securities Exchange with distribution or sale of investments
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