Links To Regulatory Sites
RRBDLAW.com
BrokeAndBroker.com
Bill Singer, Attorney at Law
BrokeAndBroker.com
Bill Singer, Attorney at Law
- Main Page
- Litigation Releases (civil lawsuits in federal court)
- ALJ Decisions/Orders (Administrative Law Judges)
- Investigative Reports (21(a) Reports, etc.)
- Opinions/Adjudicatory Orders (opinions/orders adjudicating ALJ appeals or SRO actions,or motions in connection)
- Amicus Briefs
- Appellate Briefs
- Rules of Practice
- 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
- Staff No Action, Interpretive and Exemptive Letters
- Division of Corporation Finance
- Division of Investment Management
- Division of Market Regulation
- Main Forms Page
- Form 1661: Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena
- Form 1662: Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena
- Form 2405: Notice on Supplying Information Voluntarily
- Form 1-A: Regulation A Offering Statement
- FOCUS Report FORM X-17A-5 Schedule I (annual)
- SB-1 Small Business Registration Statement
- SB-2 Small Business Registration Statement
- Form BD: Uniform Broker-Dealer Applicationt
- 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
- Search the EDGAR database
- 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)
- 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)
- Franchise Registration and Disclosure Guidelines
- Form D
- Form U4
- Form U4 Intructions
- Form U5
- Form U-7
- Form BD
- Form BDW
- 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
- FINRA Home Page
- MC-400 (Membership Continuance Application)