Securities Exchange Act and SEC Rules & Forms

• Securities Exchange Act | GLB | Rules | Related Rules & Regs
• SEA Section 3 (definitions) | Rules
• SEA Section 6 (Exchanges) | Rules
• SEA Section 7 (Margin Requirements) | Reg T; Reg U; Reg X
• SEA Section 11A (National Market System) | Rules | Reg NMS
• SEA Section 15 (Registration and Regulation of BDs) | Rules
• SEA Section 15A (FINRA) | Rules
• SEA Section 15B (Municipals) | Rules
• SEA Section 15C (US Governments) | Rules | Treasury Regs
• SEA Section 15D (Research Analysts) | Reg AC
• SEA Section 17 (Records) | Rules
• SEA Section 19 (Exchanges and SROs) | Rules
• Forms

• Selected SEA Regulations  Reg AC (Analyst Certification)
  Reg ATS (Alternative Trading Systems)
  Reg Crowdfunding
  Reg FD (Fair Disclosure)
  Incentive-Based Compensation
  Reg M (Manipulation)
  Reg Margin SF (Security Futures Margin)
  Reg NMS (National Market System)
  Reg R (Bank Broker Activities)
  Reg S-AM (Affiliate Marketing)
  Reg S-ID (Identity Theft)
  Reg S-P (Safeguarding Personal Information)
  Reg SCI (Systems Compliance and Integrity)
  Reg SHO (Short Sales)
  Volcker Rule (SEC Version)

SRO Rules

• FINRA/NASD/NYSE Rules
• MSRB Rules