SEC3 Regulatory Reference & Resource Guide
Tying together resources from around the web: The Securities and Exchange Commission (sec.gov); Office of the Legislative Counsel (legcounsel.house.gov); Government Publishing Office (ecfr.gov); Cornell Law School Legal Information institute (www.law.cornell.edu); National Futures Association (www.nfa.futures.org); Municipal Securities Rulemaking Board (www.msrb.org); North American Securities Administrators Association (www.nasaa.org); and the Financial Industry Rulemaking Board (www.finra.org/industry).
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Securities Acts
(full text pdf)
Securities Act of 1933
Securities Exchange Act of 1934
Trust Indenture Act of 1939
Investment Company Act of 1940
Investment Advisers Act of 1940
Securities Investor Protection Act of 1970
Sarbanes-Oxley Act of 2002
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
Jumpstart Our Business Startups Act of 2012
Other Helpful Sites at SEC.gov:
SEC Rule Index (Proposed & Final)
SEC Concept Releases
SEC Interpretive Releases
SEC Press Releases
SEC Administrative Proceedings
SEC Litigation Releases
SEC Staff No Action, Interpretive & Exemptive Letters:
Division of Investment Management
Division of Trading and Markets
Office of the Chief Accountant
Division of Corporation Finance
Commodity Futures Trading Commission
Commodity Exchange Act
CFTC Rules
CFTC Staff Letters (No Action, Interpretive & Exemptive Letters)
CFTC Press Releases
Other Industry Groups and SROs
Investment Company Institute (ICI)
Investment Adviser Association (IAA)
The American Insurance Association
Financial Planning Association (FPA)
Securities Industry Financial Markets Association (SIFMA)
American Bar Association
American Bankers Association
American Council of Life Insurers
Independent Community Bankers of America
National Association of Mutual Insurance Companies
Financial Services Roundtable
Chartered Financial Analyst (CFA) Institute