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Securities Laws, Rules, Regulation and Information
The Securities Statutes, Rules, Regulations and Proposals, State and Federal
Federal Law | Commentary | State Law |
When you need a quick answer to a securities question, turn to Fundamentals of Securities Regulation. The book is a securities law "must have." This version is the distillation of the authoritative 11-volume treatise, Securities Regulation, in one convenient volume, offering expert analysis of every significant aspect of securities law, including: Primary liability under 10(b); Insider trading; Sanctions; Disclosure requirements; Rules and forms for offerings; SEC reporting; Forward-looking statements; Class action suits; Bespeaks caution cases; ADR in securities disputes.
Another useful publication is The Securities Enforcement Manual, Second Edition: Tactics and Strategies. Published by the American Bar Association, this new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions
The Federal Rules and Regulations
The Securities Act of 1933
Securities Act of 1933
promulgated under the Securities Act of 1933
S-K, Integrated Disclosure System
S-X, Accounting Rules.
The Securities Exchange Act of 1934
The Investment Company Act
The Investment Advisers Act of 1940
The Securities Investor Protection Act of 1970
The Public Utilities Holding Company Act
The National Securities Markets Improvement Act of 1996 (NSMIA)
Related Sites and Links
Recent Securities Law Opinions.
The State Blue Sky Laws
In addition to the federal securities laws, each state has its own securities laws. For an overview, please read Introduction to the Blue Sky Laws. We maintain a complete list of their snailmail and email addresses, as well as links to the rules and regulations that are available on line in our Guide to State Securities Administrators.
To learn more about the securities rules and regulations, try any of the print publications at our Bookstore
Federal Law |Commentary | State Law | Securities Law Home Page |
Securities Law Blog
New York Securities Lawyer
Copyright 2014 VGIS Communications All Rights Reserved. VGIS Communications, 60 Pompton Avenue, Verona, New Jersey 07044 - 973-559-5795 Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial adviser before acting upon the information contained in this article. For additional information, contact Mark J. Astarita, Esq., a partner in the law firm of Sallah Astarita & Cox, LLC, who represents clients in a wide variety of finance related matters. Mr. Astarita can be contacted by mail.
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