There are two primary sets of federal securities laws that come into play when a company wants to offer and sell its securities securities act of 1933 securities act securities exchange act of 1934 exchange act. Often referred to as the truth in securities law the securities act of 1933 has two basic objectives require that investors receive financial and other significant information concerning securities being offered for public sale and prohibit deceit misrepresentations and other fraud in the sale of securities. There are five major federal securities laws securities act of 1933 regulating distribution of new securities securities exchange act of 1934 regulating trading securities brokers and exchanges trust indenture act of 1939 regulating debt securities investment company act of 1940
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