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Hi , I need help with understanding the following questions : The 1934 Securities Exchange Act provides for the regulation and registration of securities exchanges,

Hi , I need help with understanding the following questions :

The 1934 Securities Exchange Act provides for the regulation and registration of securities exchanges, brokers, dealers, and national securities associations, such as the National Association of Securities Dealers (NASD).

a. Trueb. False

9. Under which sections and rules can private parties sue violators? Choose two:

a. Section 16(b)

b. Section 10(b)

c. Rule 10b-5

d. Section 21(f)

e. Rule 10d-6

10. When a violation of Section 16(b) occurs, a corporation can bring an action to recover the short-swing profits.

a. Trueb. False

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