Securities Acts And Their Accompanying Rules/Regulations

• The Securities Act of 1933
  • General Rules and Regulations promulgated under the Securities Act of 1933 (17 CFR Part 230)
  • Forms prescribed under the Securities Act of 1933
• The Securities Exchange Act of 1934
  • General Rules and Regulations promulgated under the Securities Exchange Act of 1934 (17 CFR Part 240)
  • Forms prescribed under the Securities Exchange Act of 1934
• The Investment Company Act of 1940
  • Rules and regulations promulgated under the Investment Company Act of 1940 (17 CFR Part 270)
  • Forms prescribed under the Investment Company Act of 1940
• The Investment Advisers Act of 1940
  • Rules and regulations promulgated under the Investment Advisers Act of 1940 (17 CFR Part 275)
  • Forms prescribed under the Investment Advisers Act of 1940
• Sarbanes-Oxley Act of 2002
• Dodd-Frank Wall Street Reform And Consumer Protection Act

Regulations

• Standards of Professional Conduct for Attorneys (17 CFR Part 205)
• Regulation S-X (17 CFR Part 210)
• Regulation S-K (17 CFR Part 229)
• Regulation M-A (17 CFR 229.1000 et seq.)
• Regulation AB (17 CFR 229.1100 et seq.)
• Regulation S-T (17 CFR Part 232)
• Regulation M (17 CFR 242.100)
• Regulation SHO (17 CFR 242.200 et seq.)
• Regulation ATS (17 CFR 242.300)
• Customer Margin Requirements for Security Futures (17 CFR 242.400 et seq.)
• Regulation AC (17 CFR 242.500 et seq.)
• Regulation NMS (17 CFR Part 242.600 et seq.)
• Regulation SBSR (17 CFR 242.900 et seq.)
• Regulation FD (17 CFR Part 243)
• Regulation G (17 CFR Part 244)
• Regulation BTR (17 CFR Part 245)
• Regulation RR (17 CFR Part 246)
• Regulation R (17 CFR Part 247)
• Regulations S-P, S-Am, and S-ID (17 CFR Part 248)
• [Regulation S-B was removed at 73 Fed. Reg. 934, January 4, 2008. Many of its provisions were moved to other regulations.]