The federal securities laws are rooted in the stock market crash of 1929 and represent one of the major reforms offered in the New Deal era.

Deviate was a small computer manufacturer that started out as a garage business in its CEO Stevens garage. After a few years, the business was incorporated and saw rapid growth. Steven decided that he needed new capital to expand the business and decided to take Deviate public. Deviate issued 1,000,000 shares of stock. He also took out a loan from Nueva Bank. The stock shares were originally sold to an underwriter, Fields & Marks, an investment bank. Fields & Marks then sold the shares to the public using the brokerage firm, H.M. Cotton. Investors bought the entire offering of 1,000,000 shares. Deviate also issued ten-year coupon bonds with a 5% interest rate. The bonds are backed by the general credit of Deviate.

1. Before the initial public offering of 1,000,000 shares of Deviate stock occurs (assume that it is an interstate offering), the transaction must be registered with which of the agencies?

2.The issuance of the stock through Deviates initial public offering is primarily regulated through which of the following acts?

3. After the initial public offering, Deviates stock is listed then exchanged between investors using the New York Stock Exchange. Which of the following acts primarily regulates the ongoing trading of Deviates stock?

4. Suppose an investor wanted to find information about Deviate before deciding to purchase share of stock. Which of the following databases would the investor use?