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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

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North American Securities Administrators Association (NASAA)

Financial Industry Regulatory Authority (FINRA)
New York Stock Exchange/NASD

NASAA Main Page

  *  U.S., Canada, and Mexico Enforcement
  *  U.S. and Canada Securities Laws, Rules, Regulations
  *  CRD and IARD Websites
 

FINRA Home Page

MC-400 (Membership Continuance Application)

Industry Publications and Websites

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THE ARTICLES PUBLISHED HERE REPRESENT THE PERSONAL VIEWS OF THE AUTHOR, AND NOT NECESSARILY THE VIEWS OF ANY LAW FIRM OR ORGANIZATION WITH WHICH HE MAY BE AFFILIATED. ALL STATEMENTS MADE IN THESE ARTICLES ARE FOR GENERAL INFORMATION ONLY AND ARE NOT INTENDED TO PROVIDE, NOR SHOULD THEY BE RELIED ON AS, LEGAL ADVICE. READERS MUST CONSULT WITH QUALIFIED LEGAL COUNSEL BEFORE RELYING UPON ANY CONTENT CONTAINED HEREIN. STATEMENTS MADE IN THESE ARTICLES MAY BE INCORRECT FOR YOUR JURISDICTION OR AT THE TIME WHEN YOU READ SUCH STATEMENTS THE UNDERLYING RULES, REGULATIONS AND/OR DECISIONS MAY NO LONGER BE CONTROLLING OR PERSUASIVE AS A MATTER OF LAW OR INTERPRETATION.

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