Federal Securities Laws
Selected Statutes, Rules and Forms
Summary of Contents
Statutes: Selected Portions
| Securities Act of 1933 (15 U.S.C. 77a et seq.) |
| Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) |
| Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq.) |
Selected Rules and Regulations
| Securities Act of 1933 - General Rules and Regulations (17 CFR 230.______) |
| Regulation A: Conditional Small Issues Exemption (17 CFR 230.______) |
| Regulation C: Registration (17 CFR 230.______) |
| Regulation D: Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933 (17 CFR 230.___) |
| Regulation CE: Coordinated Exemptions for Certain Issues of Securities Exempt Under State Law (17 CFR 230.___) |
| Regulation S-B: Integrated Disclosure System for Small Business Issuers (17 CFR 228.___) |
| Regulation S-K: Standard Instructions for Filing Forms Under Securities Act of 1933, Securities Exchange Act of 1934 and Energy Policy and Conservation Act of 1975 (17 CFR 229.___) |
| Regulation S-T: General Rules and Regulations for Electronic Filings (17 CFR 232.___) |
| Regulation S-X: Form and Content of and Requirements for Financial Statements, Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Investment Company Act of 1940, Investment Advisers Act of 1940, and Energy Policy and Conservation Act of 1975 (17 CFR 210.___) |
| Securities Exchange Act of 1934 - General Rules and Regulations (17 CFR 240.________) |
| Regulation 12B: Registration and Reporting (17 CFR 240.____) |
| Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12 (17 CFR 240._____) |
| Regulation 13B-2: Maintenance of Records and Preparation of Required Reports (17 CFR 240._____) |
| Regulation 13D (17 CFR 240.______) |
| Regulation 14A: Solicitation of Proxies (17 CFR 240.______) |
| Regulation 14C: Distribution of Information Pursuant to Section 14(c) (17 CFR 240.______) |
| Regulation 14D (17 CFR 240.______) |
| Regulation 14E (17 CFR 240.______) |
| Rules 15a Through 15c6: (17 CFR 240._____) |
| Regulation 15D: Reports of Registrants Under the Securities Act of 1933 (17 CFR 240.____) |
| Rules 15g Through 36a1-2 (17 CFR 240.______) |
| Regulations M, SHO, ATS, and AC and Customer Margin Requirements for Security Futures (17 CFR 242._____) |
| Regulation FD (17 CFR 243. ___) |
| Regulation G (17 CFR 244. ___) |
| Regulation BTR: Blackout Trading Restriction (17 CFR 245. ___) |
| Regulation S-P: Privacy of Consumer Financial Information (17 CFR 248. ___) |
| Trust Indenture Act of 1939—General Rules and Regulations (17 CFR 260._____) |
Selected Forms
Index
