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9. List two securities that do not have to be registered with the SEC 10. Which act mandated a number of corporate reforms and accounting

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9. List two securities that do not have to be registered with the SEC 10. Which act mandated a number of corporate reforms and accounting oversights 11. What is the amount of assets needed for investments advisors need that would require registration with the SEC 12. What is CIK 13. What is 10K 14. What is 10Q 15. What is 8K

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