require that investors receive financial and other significant information concerning securities being offered for public sale;
prohibit deceit, misrepresentations, and other fraud in the sale of securities.

Helpful Links:

Information on the Securities Act of 1933 on SEC.gov

Related Products:

Smarsh Email Archiving

Smarsh Instant Messenger
Social Media Archiving
Virtual Compliance Officer

Back to listing of regulations & laws

Smarsh, Inc. assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for specific information on specific rules and regulations and how they apply to your business.

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Smarsh� offers industry-leading email archiving & regulatory compliance services for Exchange, Lotus Notes, GroupWise and SMTP, enabling companies to meet growing litigation readiness, compliance, and corporate governance needs. Smarsh� provides a common interface for e-mail, instant message ( im ), and file / document discovery which simplifies electronic records retrieval, classification, review, policy management and legal document production. Suitable for the securities, hedge fund, accounting, and healthcare industries, Smarsh � offers a proven email archive solution for compliance with SEC, FINRA (NASD / NYSE), GLBA, HIPAA, FRCP, FERC & Sarbanes Oxley regulations. smarshCRM is offered through Smarsh CRM Services, Inc.