Resources and Links

Federal, State and Self-Regulatory Organizations

U.S. Securities and Exchange Commission (SEC)
North American Securities Administrators Association, Inc
List and Contact Information for State Securities Commission
Contact Information for State, Provincial and Territorial Securities Administrators of North America
Financial Industry Regulatory Authority, Inc.(FINRA)
National Futures Association (NFA)
Municipal Securities Rulemaking Board (MSRB)

Federal Securities Law and Selected Material

Securities Act of 1933
Securities Exchange Act of 1934
Investment Advisers Act of 1940
Investment Company Act of 1940
SEC Staff No-Action, Interpretive and Exemptive Letters

Arbitration and Litigation

FINRA Dispute Resolution, Inc.
FINRA Dispute Resolution, Inc. – Brochure
FINRA Code of Arbitration Procedure for Customer Disputes
FINRA Code of Arbitration Procedure for Industry Disputes
FINRA Arbitration Awards Online Database
American Arbitration Association (AAA)
American Arbitration Association (AAA) Rules & Procedures
JAMS Arbitration, Mediation, and ADR Services
JAMS ADR Clauses, Rules, and Procedures

Securities

Edgar Database
Small Business and the SEC – A Guide for Small Business on Raising Capital
SEC – Regulation D Offerings
Regulation D – Code of Federal Regulations
N.Y. Times: Dealbook

Broker-Dealers

Financial Industry Regulatory Authority, Inc. (FINRA)
FINRA Manual and Rules
FINRA Regulatory Notices
FINRA Annual Examination Priorities Letters
Broker-Dealers – SEC Division of Trading and Markets
Broker-Dealer Reports – A Small Entity Compliance Guide
Final Model Privacy Form Under the Gramm-Leach-Bliley Act – A Small Entity Compliance Guide

Investment Advisers

Information for Newly-Registered Investment Advisers – SEC Division of Investment Management and Office of Compliance Inspections and Examinations
Investment Advisers – SEC’s Division of Investment Management Reference Guide
Final Model Privacy Form Under the Gramm-Leach-Bliley Act – A Small Entity Compliance Guide
Investment Adviser Public Disclosure
ertified Financial Planner (CFP) Board of Standards, Inc

Corporate

Delaware Limited Liability Company Act
Delaware Revised Uniform Limited Partnership Act
Delaware Revised Uniform Partnership Act
General Corporation Law of the State of Delaware
Delaware Statutory Trust Act
State of Delaware – Division of Corporations
California Code
California Secretary of State – Business Programs

News and Other Sites of Interest

The Wall Street Journal
The New York Times
Investment News
Forbes
Los Angeles Times
Orange County Register
San Diego Union-Tribune
Google News: Securities
Public Company Accounting Oversight Board
The 10b-5 Daily
Securities Class Action Clearinghouse

U.S. Securities and Exchange Commission (SEC)

North American Securities Administrators Association, Inc.
List and Contact Information for State Securities Commission
Contact Information for State, Provincial and Territorial Securities Administrators of North America
U.S. Commodity Futures Trading Commission (CFTC)
Financial Industry Regulatory Authority, Inc. (FINRA)
National Futures Association (NFA)
Municipal Securities Rulemaking Board (MSRB)

Federal Securities Law and Selected Material

Securities Act of 1933
Securities Exchange Act of 1934
Investment Advisers Act of 1940
Investment Company Act of 1940
SEC Staff No-Action, Interpretive and Exemptive Letters

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