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Securities Lawyer's Deskbook
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The Deskbook–Table of Contents
The Securities Acts and General Regulations
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
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
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
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 Under the Acts
Regulation ATS (17 CFR 242.300)
Regulation R (17 CFR Part 247)
Regulation S-K (17 CFR Part 229)
Regulation S-X (17 CFR Part 210)
Article 1 — Application of Regulation S-X
Article 10 — Interim Financial Statements
Article 11 — Pro-Forma Financial Information
Article 12 — Form and Content of Schedules
Article 13 — Financial and Non-Financial Disclosures for Certain Securities Registered or Being Registered
Article 2 — Qualifications and Reports of Accountants
Article 3 — General Instructions as to Financial Statements
Article 3A — Consolidated and Combined Financial Statements
Article 4 — Rules of General Application
Article 5 — Commercial and Industrial Companies
Article 6 — Registered Investment Companies
Article 6A– Employee Stock Purchase, Savings and Similar Plans
Article 7 — Insurance Companies
Article 8 — Financial Statements of Smaller Reporting Companies
Article 9 — Bank Holding Companies
Regulation SBSR (17 CFR 242.900 et seq.)
Regulation M-A (17 CFR 229.1000 et seq.)
Regulation AB (17 CFR 229.1100 et seq.)
Regulation M (17 CFR 242.100)
Regulation S-T (17 CFR Part 232)
Regulation SHO (17 CFR 242.200 et seq.)
Regulation AC (17 CFR 242.500 et seq.)
Regulation NMS (17 CFR Part 242.600 et seq.)
Regulation FD (17 CFR Part 243)
Regulation BTR (17 CFR Part 245)
Regulation G (17 CFR Part 244)
Regulation RR – Credit Risk Retention (17 CFR Part 246)
Regulation S-P, S-AM, AND S-IDS-P (17 CFR Part 248)
Standards of Professional Conduct for Attorneys (17 CFR Part 205)
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Regulations Under the Acts
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Regulation S-X (17 CFR Part 210)
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Article 10 — Interim Financial Statements
Article 10 — Interim Financial Statements
Rule 10-01– Interim financial statements.
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