RRBDLAW.com 917-520-2836: Special Features : Links to Regulatory Sites

Main Page
Litigation Releases (civil lawsuits in federal court)
ALJ Decisions/Orders (Administrative Law Judges)
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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
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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
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