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

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  • #198312

    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.

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