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- 17a-4 - Electronic Storage of Broker-Dealer Records (SEC)
- Administrative Procedure Act
- Alternative Investment Fund Managers Directive
- American Recovery and Reinvestment Act of 2009 (ARRA)
- Bank Secrecy Act of 1970
- Basel II Accord
- C-Sox
- Check 21 Act
- Commodity Futures Trading Commission (CFTC) Rule 1.31
- Computer Security Act
- Connecticut Public Act 08-167
- Consideration of the Internal Control Structure In a Financial Statement Audit (SAS 55)
- Customer Data Protection
- Davis-Bacon & Copeland Act
- Department of Defense 5015.2 Version 2
- Dodd-Frank Wall Street Reform and Consumer Protection Act
- Drivers Privacy Protection Act
- Electronic Communications Privacy Act (ECPA)
- Employee Polygraph Protection Act (EPPA)
- Equal Pay Act of 1963
- FFIEC Social Media: Consumer Compliance Risk Management Guidance
- FINRA 2210 - Communications with the Public
- FINRA 2210, 2212-2216: "The Communication Rules"
- FINRA 2211 - Institutional Sales Material & Correspondence
- FINRA 2310 - Recommendations to Customers (Suitability)
- FINRA 2711 - Research Analysts & Research Reports
- FINRA 3012 - Supervisory Control System
- FINRA 3110 - Books & Records
- FINRA 3510 - Business Continuity Plans
- FINRA Guide to the Web for Registered Representatives
- FINRA Regulatory Notice 07-59
- FINRA Regulatory Notice 10-06
- FINRA Regulatory Notice 10-59
- FINRA Regulatory Notice 11-32
- FINRA Regulatory Notice 11-39
- FINRA Regulatory Notice 12-29
- FINRA Rule 4511
- FINRA Rule 8210
- FSA Conduct of Business Rules (Rule 5.54 & Appendix 18)
- Fair & Accurate Credit Transactions Act of 2002 (FACTA)
- Fair Labor Standards Act (FLSA)
- Family Educational Rights and Privacy Act (FERPA)
- Federal Information Security Management Act of 2002 (FISMA)
- Federal Rules of Civil Procedure (FRCP) - Rule 26
- Federal Rules of Civil Procedure (FRCP) - Rule 37
- Government Paperwork Elimination Act (GPEA)
- Gramm-Leach-Bliley Act (GLBA)
- Health Information Technology for Economic and Clinical Health (HITECH) Act
- Health Insurance Portability and Accountability Act of 1996 (HIPAA)
- IIROC Notice 11-0349
- IRS Rev Proc 97-22 (Books & Records; Electronic Storage; Imaging)
- ISO 15489 - Information and Documentation - Records Management
- ITAR/Export Control
- Identity Theft (SB 1386) California
- Investment Advisers Act of 1940
- Investment Company Act of 1940
- Investor Dealers Association of Canada (IDA 29.7)
- Japan Personal Information Protection Act (JIPIPA)
- Japanese Financial Instruments and Exchange Law (J-SOX)
- Labor-Management Reporting & Disclosure Act of 1959 (LMRDA)
- Maloney Act
- Massachusetts Civil Procedure Rule 26: General Provisions Governing Discovery
- Massachusetts Data Breach Law
- Massachusetts Standards for the Protection of Personal Information of Residents of the Commonwealth (201 CMR 17.00)
- MiFID
- Mortgage Acts and Practices - Advertising Final Rule
- NARA GRS 20
- NASD 3010 - Supervision of Sales Activities
- NRS 597.970 - Nevada
- NYSE 342 - Offices - Approval, Supervision & Control
- NYSE 410 - Records of Orders
- NYSE 440 - Books & Records
- NYSE 472 - Communications with the Public
- National Instrument 31-103 (NI 31-103)
- Red Flags Rule
- Regulation S-P
- Right to Financial Privacy Act (RFPA)
- SAS 94
- SEC 17a-3 - Records to be Made by Certain Exchange Members
- SEC 203(b)(3)-2
- SEC January 2012 National Examination Risk Alert (Social Media)
- SEC Rule 206(4)-7
- Sarbanes-Oxley Act of 2002 (SOX)
- Securities Act of 1933
- Securities and Futures (Keeping of Records) Rules
- Statement of Auditing Standards for Service Organizations (SAS 70)
- Stored Communications Act
- Title 21 CFR Part 11
- UK & European Data Protection Act of 1998
- UK Employment Tribunal
- UK Freedom of Information Act
- UMIR Policy 7.1
- Uniform Photographic Copies of Business & Public Records as Evidence (UPA)
- Uniform Preservation of Private Business Records Act (UPPBRA)
- White Papers
- Industry News
- Regulations and Laws
Resources
- Regulations and Laws
- 17a-4 - Electronic Storage of Broker-Dealer Records (SEC)
- Administrative Procedure Act
- Alternative Investment Fund Managers Directive
- American Recovery and Reinvestment Act of 2009 (ARRA)
- Bank Secrecy Act of 1970
- Basel II Accord
- C-Sox
- Check 21 Act
- Commodity Futures Trading Commission (CFTC) Rule 1.31
- Computer Security Act
- Connecticut Public Act 08-167
- Consideration of the Internal Control Structure In a Financial Statement Audit (SAS 55)
- Customer Data Protection
- Davis-Bacon & Copeland Act
- Department of Defense 5015.2 Version 2
- Dodd-Frank Wall Street Reform and Consumer Protection Act
- Drivers Privacy Protection Act
- Electronic Communications Privacy Act (ECPA)
- Employee Polygraph Protection Act (EPPA)
- Equal Pay Act of 1963
- FFIEC Social Media: Consumer Compliance Risk Management Guidance
- FINRA 2210 - Communications with the Public
- FINRA 2210, 2212-2216: "The Communication Rules"
- FINRA 2211 - Institutional Sales Material & Correspondence
- FINRA 2310 - Recommendations to Customers (Suitability)
- FINRA 2711 - Research Analysts & Research Reports
- FINRA 3012 - Supervisory Control System
- FINRA 3110 - Books & Records
- FINRA 3510 - Business Continuity Plans
- FINRA Guide to the Web for Registered Representatives
- FINRA Regulatory Notice 07-59
- FINRA Regulatory Notice 10-06
- FINRA Regulatory Notice 10-59
- FINRA Regulatory Notice 11-32
- FINRA Regulatory Notice 11-39
- FINRA Regulatory Notice 12-29
- FINRA Rule 4511
- FINRA Rule 8210
- FSA Conduct of Business Rules (Rule 5.54 & Appendix 18)
- Fair & Accurate Credit Transactions Act of 2002 (FACTA)
- Fair Labor Standards Act (FLSA)
- Family Educational Rights and Privacy Act (FERPA)
- Federal Information Security Management Act of 2002 (FISMA)
- Federal Rules of Civil Procedure (FRCP) - Rule 26
- Federal Rules of Civil Procedure (FRCP) - Rule 37
- Government Paperwork Elimination Act (GPEA)
- Gramm-Leach-Bliley Act (GLBA)
- Health Information Technology for Economic and Clinical Health (HITECH) Act
- Health Insurance Portability and Accountability Act of 1996 (HIPAA)
- IIROC Notice 11-0349
- IRS Rev Proc 97-22 (Books & Records; Electronic Storage; Imaging)
- ISO 15489 - Information and Documentation - Records Management
- ITAR/Export Control
- Identity Theft (SB 1386) California
- Investment Advisers Act of 1940
- Investment Company Act of 1940
- Investor Dealers Association of Canada (IDA 29.7)
- Japan Personal Information Protection Act (JIPIPA)
- Japanese Financial Instruments and Exchange Law (J-SOX)
- Labor-Management Reporting & Disclosure Act of 1959 (LMRDA)
- Maloney Act
- Massachusetts Civil Procedure Rule 26: General Provisions Governing Discovery
- Massachusetts Data Breach Law
- Massachusetts Standards for the Protection of Personal Information of Residents of the Commonwealth (201 CMR 17.00)
- MiFID
- Mortgage Acts and Practices - Advertising Final Rule
- NARA GRS 20
- NASD 3010 - Supervision of Sales Activities
- NRS 597.970 - Nevada
- NYSE 342 - Offices - Approval, Supervision & Control
- NYSE 410 - Records of Orders
- NYSE 440 - Books & Records
- NYSE 472 - Communications with the Public
- National Instrument 31-103 (NI 31-103)
- Red Flags Rule
- Regulation S-P
- Right to Financial Privacy Act (RFPA)
- SAS 94
- SEC 17a-3 - Records to be Made by Certain Exchange Members
- SEC 203(b)(3)-2
- SEC January 2012 National Examination Risk Alert (Social Media)
- SEC Rule 206(4)-7
- Sarbanes-Oxley Act of 2002 (SOX)
- Securities Act of 1933
- Securities and Futures (Keeping of Records) Rules
- Statement of Auditing Standards for Service Organizations (SAS 70)
- Stored Communications Act
- Title 21 CFR Part 11
- UK & European Data Protection Act of 1998
- UK Employment Tribunal
- UK Freedom of Information Act
- UMIR Policy 7.1
- Uniform Photographic Copies of Business & Public Records as Evidence (UPA)
- Uniform Preservation of Private Business Records Act (UPPBRA)
- White Papers
- Industry News
Securities Act of 1933
Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives:
- 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.
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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