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Statutes

Statutes. Securities Act of 1933 Securities Exchange Act of 1934 Trust Indenture Act of 1939 Investment Company Act of 1940 Investment Advisors Act of 1940 Sarbanes Oxley Act Dodd Frank JOBS Act of 2012. Statutes – Where to Find?. U.S.C., U.S.C.A, U.S.C.S. Statutes at Large

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Statutes

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  1. Statutes • Securities Act of 1933 • Securities Exchange Act of 1934 • Trust Indenture Act of 1939 • Investment Company Act of 1940 • Investment Advisors Act of 1940 • Sarbanes Oxley Act • Dodd Frank • JOBS Act of 2012

  2. Statutes – Where to Find? • U.S.C., U.S.C.A, U.S.C.S. • Statutes at Large • Federal Securities Law Reporter (CCH) • Print Compilations • Securities Primary Law Sourcebook (online LexisNexis) • Westlaw Securities Topic • LexisNexis • Bloomberg Securities Practice Area • Hein Online • GPO Fdsys

  3. Rules and Regulations • All regulations codified in Title 17 of the C.F.R. • Individual sections of regulatory pronouncements in Title 17 are called “rules” • Some groups of related rules are called “regulations” • Each statute has its own rules and regulations • Rules and regulation finding aids, organized by statute, are available in the Federal Securities Law Reporter • Use of shorthand (e.g., rule 10b-1, without act ID) mandates online searching or use of rules concordance • Use of Item numbers in forms (find in Regulations S-K or S-B, which are instructions for forms) • Find in the CFR or Federal Register

  4. Rule Designations ACTNUMBERINGCFR CITATION 1933 Act Consecutive 17 CFR § 230.### 1934 Act Act sec. – number 17 CFR § 240.10b-5 TIA of 1939 Act sec. – number 17 CFR § 260.10b-1 ICA of 1940 Act sec. – number 17 CFR § 270.8b-1 IAA of 1940 Act sec. – number 17 CFR § 275.203-1

  5. Releases • All SEC activities are documented by a release • Issuances of and amendments to rules and regulations carry a release number • SEC rule and law interpretations are done by release (Interpretative Release) • SEC explanations of permitted behavior are done by release • Solicitations for public comment are done by release (Concept Release) • When SEC acts as a court, it reports its decisions by release • Releases are numbered consecutively and carry a prefix to show category (eg, 33-6461 is release under 1933 Act)

  6. Releases – Where to Find? • Federal Securities Law Reporter (inclusive for most recent 12 months; selective prior to that) • Westlaw (1933-present) • LexisNexis (1933-present) • SEC web page (www.sec.gov) (coverage varies; mid-90s to present) • C.F.R. (selective only) (in parts 231, 241, 251, etc.) • Federal Register (selective only) • SEC Docket (CCH) (post – 1973) • Hein or Law Library Microform Consortium microfiche (1933-73)

  7. Release Designations SERIESPREFIX Securities Act 33- Securities Exchange Act 34- PUHC 35- Trust Indenture 39- or TI- Investment Company IC- or 40- Investment Advisers IA- Privacy PA- Securities Investment Protection SIPA- Financial Reporting FRR Accounting/Auditing Enforcement AAER- Litigation Releases LR- Administrative Rulings APR- *not inclusive

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