REG – What to know about Sec Act of 1933 and Sec Exc Act of 1934?

  • Creator
    Topic
  • November 16, 2015 at 6:03 pm #198312
    Bob Saccomano
    Member

    Any rules of thumb? Specifically, with regards to auditor liability, etc.?

    I know 1933 governs IPO’s and registration statements and 1934 governs the exchanges, any post-IPO transactions, and required SEC filings — but I keep getting mixed up between what the auditors duties and liabilities are under each.

  • The topic ‘REG – What to know about Sec Act of 1933 and Sec Exc Act of 1934?’ is closed to new replies.