USA Laws

The Laws and Rules of Securities Industry United States[SEC]

What is security:-

The term ‘‘security’’ means any note, stock, treasury stock, security future, security-based swap, bond, debenture, evidence of indebtedness, certificate of interest or participation
in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, any put, call, straddle, option, or privilege on any security, certificate of deposit, or group or index of securities (including any interest therein or based on the value thereof), or any put, call, straddle, option, or privilege entered into on a national securities exchange relating to foreign currency, or, in general, any interest or instrument commonly known as a ‘‘security’’, or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing. [SECURITIES ACT OF 1933 ]

U.S. Securities and Exchange Commission protects investors and regulate the market.

“Though it is the primary overseer and regulator of the U.S. securities markets, the SEC works closely with many other institutions, including Congress, other federal departments and agencies, the self-regulatory organizations (e.g. the stock exchanges), state securities regulators, and various private sector organizations. In addition, the Chairman of the SEC represents the agency as a member of the Financial Stability Oversight Council (FSOC)”.[ Source SEC website]

The Organisation

Divisions and Offices reporting to the Office of the Chairman
Five Divisions
Corporation Finance
Investment Management
Economic and Risk Analysis
Trading and Markets
Twenty-three Offices
Administrative Law Judges
Chief Accountant
Chief Operating Officer
EDGAR Business Office
Financial Management
Human Resources
Information Technology
Support Operations
Compliance Inspections and Examinations
Credit Ratings
Equal Employment Opportunity
Ethics Counsel
General Counsel
Inspector General
International Affairs
Investor Advocate
Investor Education and Advocacy
Legislative and Intergovernmental Affairs
Minority and Women Inclusion
Municipal Securities
Public Affairs
Regional Offices reporting to both Division of Enforcement and Office of Compliance Inspections and Examinations
New York Regional Office
Boston Regional Office
Philadelphia Regional Office
Atlanta Regional Office
Miami Regional Office
Chicago Regional Office
Fort Worth Regional Office
Denver Regional Office
Salt Lake City Regional Office
Los Angeles Regional Office
San Francisco Regional Office


Security Laws

  1. Securities Act of 1933
  2. Securities Exchange Act of 1934
  3. Trust Indenture Act of 1939
  4. Investment Company Act of 1940
  5. Investment Advisers Act of 1940
  6. Sarbanes-Oxley Act of 2002 [Public Company Accounting Reform and Corporate Responsibility Act of 2002]
  7. Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
  8. Jumpstart Our Business Startups Act of 2012
  9. Rules and Regulations

    Rules and Regulations for the Securities and Exchange Commission and Major Securities Laws

    Securities and Exchange Commission Rules and Regulations
    Part 200 Organization; Conduct and Ethics; and Information and Requests
    Part 201 Rules of Practice
    Part 202 Informal and Other Procedures
    Part 203 Rules Relating to Investigations
    Part 204 Rules Relating to Debt Collection
    Part 205 Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer
    Part 209 Forms Prescribed under the Commission’s Rules of Practice
    Part 210 Form and Content of and Requirements for Financial Statements, Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Investment Company Act of 1940, Investment Advisers Act of 1940, and Energy Policy and Conservation Act of 1975
    Part 211 Index of Interpretations Relating to Financial Reporting Matters
    Part 227 Rules Governing Crowdfunding Offerings of up to $1 million
    Part 229 Standard Instructions for Filing Forms Under Securities Act of 1933, Securities Exchange Act of 1934 and Energy Policy and Conservation Act of 1975 ? Regulation S-K
    Securities Act of 1933
    Part 230 General Rules and Regulations
    Part 231 Index of Interpretive Releases
    Part 232 Regulation S-T ? General Rules and Regulations for Electronic Filings
    Part 239 e-CFR Forms Listing
    Trust Indenture Act of 1939
    Part 260 General Rules and Regulations
    Part 261 Index of Interpretive Releases
    Part 269 e-CFR Forms Listing
    Securities Exchange Act of 1934
    Part 240 General Rules and Regulations
    Part 241 Index of Interpretive Releases
    Part 242 Regulations M, SHO, ATS, AC, and NMS and Customer Margin Requirements for Security Futures
    Part 243 Regulation FD
    Part 244 Regulation G
    Part 245 Regulation Blackout Trading Restriction (Regulation BTR ? Blackout Trading Restriction)
    Part 247 Regulation R — Exemptions and Definitions Related to the Exceptions for Banks from the Definition of Broker
    Part 248 Regulation S-P: Privacy of Consumer Financial Information
    Part 249 e-CFR Forms Listing
    Part 249B Further Forms, Securities Exchange Act of 1934
    Part 255 Proprietary Trading and Certain Interests in and Relationships with Covered Funds
    Investment Company Act of 1940
    Part 270 General Rules and Regulations
    Part 271 Index of Interpretive Releases
    Part 274 e-CFR Forms Listing
    Investment Advisers Act of 1940
    Part 275 General Rules and Regulations
    Part 276 Index of Interpretive Releases
    Part 279 e-CFR Forms Listing
    Securities Investor Protection Corporation
    Part 300 General Rules and Regulations
    Part 301 e-CFR Forms Listing


    The format of Security Complaint USA [PDF]



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