RRBDLAW.com 917-520-2836: NYS Insurance Regulation 60

LINKS TO REGULATORY SITES



United States Securities and Exchange Commission(SEC)
Main Page	Main Forms Page
Litigation Releases (civil lawsuits in federal court)	Form 1661: Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena
Administrative Proceedings (notices/orders about the institution and/or settlement of administrative proceedings)	Form 1662: Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena
ALJ Decisions/Orders (Administrative Law Judges)	Form 2405: Notice on Supplying Information Voluntarily
Investigative Reports (21(a) Reports, etc.)	Form 1-A: Regulation A Offering Statement
Opinions/Adjudicatory Orders (opinions/orders adjudicating ALJ appeals or SRO actions,or motions in connection)	FOCUS Report FORM X-17A-5 Schedule I (annual)
Amicus Briefs	SB-1 Small Business Registration Statement
Appellate Briefs	SB-2 Small Business Registration Statement
Rules of Practice	Form BD: Uniform Broker-Dealer Application
Main Page of Securities Laws Securities Act of 1933 Securities Exchange Act of 1934 Public Utility Holding Company Act of 1935 Trust Indenture Act of 1939 Investment Company Act of 1940 Investment Advisers Act of 1940 Sarbanes-Oxley Act of 2002	Form BDW: Uniform Withdrawal of BD
	Form ADV: Uniform Investment Adviser Application
	Form 144: Notice of sale of 144 securities
	Form 10Q: Quarterly
	Form 10K: Annual
Staff No Action, Interpretive and Exemptive Letters Division of Corporation Finance Division of Investment Management Division of Market Regulation Office of the Chief Accountant	Search the EDGAR database
North American Securities Administrators Association (NASAA)
NASAA Main Page U.S., Canada, and Mexico Enforcement U.S. and Canada Securities Laws, Rules, Regulations CRD and IARD Websites Model Accredited Investor Exemption Uniform Notice of Transaction Uniform Application to Register Securities(U-1) (PDF) Uniform Consent to Service of Process(U-2) Uniform Corporate Resolutions(U-2A) Uniform Investment Company Notice Filing (Form NF) Uniform Surety Bond (U-SB) Uniform Examination Request (U-10) (PDF) Franchise Registration and Disclosure Guidelines (PDF) Form D (PDF)	Form U4 Form U5 Form U-7 Form BD Form BDW Form ADV Form ADV (Parts 1A & 1B, plus instructions) A Guide for Electronic Filing of the ADV Part II (Read this first) Form ADV Part II with 5-page Schedule F Form ADV Part II with 15-page Schedule F Form ADV Part II with 25-page Schedule F Form ADV Part II Schedule G Form ADV Part II Schedule H Form ADV Part II Schedule H 30 Form ADV-E Form ADV-H Form ADV-NR Form ADV-W
Financial Industry Regulatory Authority (FINRA) New York Stock Exchange/NASD
FINRA Home Page MC-400 (Membership Continuance Application)

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