Securities Regulation: Statutes, Regulations, Releases, and SEC Guidance

Compilation of links to copies of the securities acts and securities rules and regulations, along with brief explanations of the scope and purpose of each, including:

• Securities Act of 1933
• Securities Exchange Act of 1934
• Trust Indenture Act of 1939
• Investment Company Act of 1940
• Investment Advisers Act of 1940
• Sarbanes-Oxley Act of 2002
• Dodd-Frank Wall Street Reform and Consumer

Contains the securities-related statutes from the United States Code Service.

Contains securities-related materials from the United States Code Annotated.

Online resource and KF1436.5 .C66

A compilation by the SEC of links on its website to rules and regulations promulgated under:

• Securities Act of 1933
• Securities Exchange Act of 1934
• Trust Indenture Act of 1939
• Investment Company Act of 1940
• Investment Advisers Act of 1940

Includes links to proposed and final rules, concept and interpretive releases, policy statements, and other releases and other rulemaking-related materials.

Contains securities-related materials from the Federal Register and the Code of Federal Regulations.

Online resource and KF1436.5 .C66

Includes links on the SEC’s website to releases relating to the SEC’s rulemaking, including proposed rules, final rules, interpretive releases, concept releases, and policy statements.

Includes materials relating to releases and other administrative actions by the SEC.

Contains SEC releases and decisions.

Online resource and KF1436.5 .C66

Includes links to copies of no-action letters issued by the SEC on the SEC’s website.

Includes no-action, exemptive, and interpretative letters, and staff legal bulletins, issued by the SEC.

Includes no-action letters.

Online resource and KF1436.5 .C66