SEC Statutes, Rules, Regulations, and Schedules

Statutes

The Securities Act of 1933

The Exchange Act of 1934

The Investment Company Act of 1940

Jumpstart Our Business Startups Act (JOBS Act)
The JOBS Act requires the SEC to write rules and issue studies on capital formation, disclosure and registration requirements.

Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank)
The Dodd-Frank Act was written to promote the financial stability of the United States by improving accountability and transparency in the financial system, to end ‘‘Too Big To Fail’’, to protect the American taxpayer by ending bailouts, to protect consumers from abusive financial services practices, and for other purposes.

Sarbanes-Oxley Act of 2002 (SOX)
SOX was written to protect investors by improving the accuracy and reliability of corporate disclosures made pursuant to the securities laws, and for other purposes.

 

Rules, Regulations, and Schedules

General Rules and Regulations, Securities Act of 1933

Rule 144 Persons Deemed Not To Be Engaged In A Distribution and Therefore Not Underwriters

Rule 147 Exemption for Intrastate Offers and Sales of Securities

Rule 155 Integration of Abandoned Offerings

Regulation A Conditional Small Issues Exemption

Regulation C Registration and Filing Requirements

Regulation D Rules Governing the Limited Offer and Sale Of Securities Without Registration Under the Securities Act

Rule 701 Exemption For Offers and Sales of Securities Pursuant To Certain Compensatory Benefit Plans And Contracts Relating To Compensation

Regulation S Rules Governing Offers and Sales Made Outside The United States Without Registration Under The Securities Act)

Description of Securities Act Forms

 

General Rules and Regulations, Securities Act of 1934

Regulation 12B Exchange Act Registration and Reporting

Regulation 13D and 13G Securities Ownership

Schedule 13D Statement Of Beneficial Ownership

Schedule 13G Statement Of beneficial ownership

Rule 13e-3 Going Private Transactions

Regulation 14A Proxy Rules

Schedule 14A Proxy Statement Pursuant To Section 14(a) Of The Exchange Act

Regulation 14C Distribution Of Information Pursuant To Section 14(c) Of The Exchange Act

Schedule 14C Information Statement Pursuant To Section 14(c) Of The Exchange Act

Section 16 Rules Ownership Reports and Trading By Officers, Directors And Principal Security Holders

Regulation FD Fair Disclosure

Regulation BTR Blackout Trading Restrictions

Descriptions of Exchange Act Forms Forms Prescribed Under The Exchange Act

Industry Guides Securities Act and Exchange Act Industry Guides

Regulation S-K