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Federal Securities Laws

You can learn about and read the text of the laws that govern the securities industry, including the:

  • Securities Act of 1933;

  • Securities Exchange Act of 1934;

  • Investment Company Act of 1940;

  • Investment Advisers Act of 1940; and

  • Public Utility Holding Company Act of 1935.
You'll find other federal laws and regulations in the United States Code and the Code of Federal Regulations.

We have provided this information as a service to investors.  It is neither a legal interpretation nor a statement of SEC policy.  If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.

Modified: March 29, 2010