Securities act of 1933

Ans: *Prospectus* with audited financial statements through the SEC (for

transparency)

SEC

Ans: Regulates security markets for transparency, 10 k annual reports

required by public companies

Sarbanes-Oxley Act

Ans: Transparency by requiring off balance sheet transaction reporting,

audited, internal controls with an annual audit required

FINRA

Ans: To protect investors

Rule 144A

Rule S

Must be a member to buy or sell securities on behalf of som...