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The selling and registration of securities are governed under the 1933 Act. After issuance, trading in those securities is governed by the 1934 Act. The Securities Exchange Commission oversees both.
The Securities Act of 1933 was Congress's first shot in the fight against securities fraud. It differs from the Exchange Act of 1934 in that the former focuses on regulating securities issued by companies in what is known as the primary market, whereas the latter primarily deals with the regulation of secondary trading, which takes place between parties unrelated to the issuing companies. Congress mainly targeted the companies that issued securities. Companies that sell securities are known as issuers, and their goal is to raise capital to finance brand-new initiatives, investments, or business expansion. Potential investors must be attracted to these businesses.
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