Securities laws and regulations are a complex framework of laws governing the securities industry. Some of the major federal statutes and regulations include the following:
The Securities Act of 1933
The Securities Exchange Act of 1934
The Trust Indenture Act of 1939
Investment Company Act of 1940
Investment Advisor Act of 1940
Sarbanes-Oxley Act of 2002
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
Jumpstart our Business Startups Act of 2012
FINRA Regulations
Securities and Exchange Commission (SEC) Regulations