Federal Securities Laws

This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. It is the most complete supplement available and is regularly updated and revised. Contents include the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, SEC Rules of Practice, and related federal laws. It contains many changes from the prior year's version, including:

• Amendments to Regulation...
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This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. It is the most complete supplement available and is regularly updated and revised. Contents include the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, SEC Rules of Practice, and related federal laws. It contains many changes from the prior year's version, including:

• Amendments to Regulation A;
• Amendments to Regulation C;
• Amendments to Regulation S-K;
• Amendments to Regulation S-T;
• Amendments to Regulation 14A;
• Amendments to Regulation M;
• Amendments to Regulation NMS;
• New Securities Act Rule 139b and new Investment Company Act Rule 24b-4 regarding publication or distribution of covered investment fund research reports;
• New Exchange Act Rule 15l-1 regarding broker-dealer obligations when making recommendations to customers;
• New Exchange Act Subpart 18a regarding capital, margin and segregation requirements for security-based swap dealers and participants;
• New Investment Company Act Rule 30e-3 allowing online reports to shareholders by registered investment companies;
• New Rules of Practice Rule 194 regarding security-based swap dealers/participants;
• Amendments to various forms.

This edition has a cutoff date of September 10, 2019.