Securities Documents

Documents relevant to the U.S. regulation of securities broker-dealers, including banks acting as broker-dealers.

Statutes

Investment Advisers Act

Investment Company Act

Securities Act

Securities Exchange Act

Securities Investor Protection Act

Rules

IAA Rules

ICA Rules

SA Rules

SEA Rules

SA/SEA Regs

SIPC Rules

All SEC Rules

By CFR Part Number  

200: Organization; Conduct and Ethics; and Information and Requests (200.1 to 200.800)

201: Rules of Practice (201.31 to 201.1106)

202: Informal and Other Procedures (202.1 to 202.190)

203: Rules Relating to Investigations (203.1 to 203.8)

204: Rules Relating to Debt Collection (204.1 to 204.77)

205: Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of An Issuer (205.1 to 205.7)

209: Forms Prescribed under the Commission's Rules of Practice (209.0-1 to 209.1)

210: Form and Content of and Requirements for Financial Statements, Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, and Energy Policy and Conservation Act of 1975 (210.1-01 to 210.12-29)

211: Interpretations Relating to Financial Reporting Matters

227: Regulation Crowdfunding, General Rules and Regulations (227.100 to 227.503)

228: [Reserved]

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 (229.10 to 229.1208)  

Regulation S-K (229.10 to 229.915 and 229.1201 to 229.1208)

Regulation M-A (229.1000 to 229.1016)

Regulation AB (Asset-Backed Securities) (229.1100 to 229.1123)

230: General Rules and Regulations, Securities Act of 1933 (230.100 to 230.1001)

231: Interpretative Releases Relating to the Securities Act of 1933 and General Rules and Regulations Thereunder

232: Regulation S-T—General Rules and Regulations for Electronic Filings (232.10 to 232.600-232.903)

239: Forms Prescribed under the Securities Act of 1933 (239.0-1 to 239.900)

240: General Rules and Regulations, Securities Exchange Act of 1934 (240.0-1 to 240.36a1-2)

241: Interpretative Releases Relating to the Securities Exchange Act of 1934 and General Rules and Regulations Thereunder

242: Regulations M, SHO, ATS, AC, NMS, and SBSR and Customer Margin Requirements for Security Futures (242.100 to 242.1007)  

243: Regulation FD (243.100 to 243.103)

244: Regulation G (244.100 to 244.102)

245: Regulation Blackout Trading Restriction (245.100 to 245.104)

246: Credit Risk Retention (246.1 to 246.22)

247: Regulation R—Exemptions and Definitions Related to the Exceptions for Banks From the Definition of Broker (247.100 to 247.781)

248: Regulations S-P, S-AM, and S-ID (248.1 to 248.202)  

249: Forms, Securities Exchange Act of 1934 (249.0-1 to 249.2000)

249a: [Reserved]

249b: Further Forms, Securities Exchange Act of 1934 (249b.1-249b.99 to 249b.400)

250: Cross-Border Antifraud Law-Enforcement Authority (250.1)

251-254: [Reserved]

255: Proprietary Trading and Certain Interests in and Relationships with Covered Funds (255.1 to 255.21)

256-259: [Reserved]

260: General Rules and Regulations, Trust Indenture Act of 1939 (260.0-1 to 260.19a-1)

261: Interpretative Releases Relating to the Trust Indenture Act of 1939 and General Rules and Regulations Thereunder

269: Forms Prescribed under the Trust Indenture Act of 1939 (269.0-1 to 269.10)

270: Rules and Regulations, Investment Company Act of 1940 (270.0-1 to 270.60a-1)

271: Interpretative Releases Relating to the Investment Company Act of 1940 and General Rules and Regulations Thereunder

274: Forms Prescribed under the Investment Company Act of 1940 (274.0-1 to 274.404)

275: Rules and Regulations, Investment Advisers Act of 1940 (275.0-2 to 275.222-2)

276: Interpretative Releases Relating to the Investment Advisers Act of 1940 and General Rules and Regulations Thereunder

279: Forms Prescribed under the Investment Advisers Act of 1940 (279.0-1 to 279.9)

281: Interpretative Releases Relating to Corporate Reorganizations under Chapter X of the Bankruptcy Act

285: Rules and Regulations Pursuant to Section 15(a) of the Bretton Woods Agreements Act (285.1 to 285.4)

286: General Rules and Regulations Pursuant to Section 11(a) of the Inter-American Development Bank Act (286.1 to 286.4)

287: General Rules and Regulations Pursuant to Section 11(a) of the Asian Development Bank Act (287.1 to 287.101)

288: General Rules and Regulations Pursuant to Section 9(a) of the African Development Bank Act (288.1 to 288.101)

289: General Rules and Regulations Pursuant to Section 13(a) of the International Finance Corporation Act (289.1 to 289.101)

290: General Rules and Regulations Pursuant to Section 9(a) of the European Bank for Reconstruction and Development Act (290.1 to 290.101)

300: Rules of the Securities Investor Protection Corporation (300.100 to 300.600)

301: Forms, Securities Investor Protection Corporation (301.0-1 to 301.300c)

302-399: [Reserved]  

Proposed: Incentive-Based Compensation Arrangements (303.1 to 303.12)

Alphabetical  

Credit Risk Retention (Part 246)

Cross-Border Antifraud Law-Enforcement Authority (Part 250)

Customer Margin Requirements for Security Futures (242.400 to 242.406)

Incentive-Based Compensation Arrangements (PROPOSED) (Part 303)

Informal and Other Procedures (Part 202)

Interpretations Listed in the Code of Federal Regulations (Parts 211, 231, 241, 261, 271, 276 and 281)

Investment Advisers Act Forms (Part 279)

Investment Advisers Act Rules (Part 275)

Investment Company Act Forms (Part 274)

Investment Company Act Rules (Part 270)

Organization; Conduct and Ethics; and Information and Requests (Part 200)

Regulation AB (Asset-Backed Securities) (229.1100 to 229.1123)

Regulation AC—Analyst Certification (242.500 to 242.505)

Regulation ATS—Alternative Trading Systems (242.300 to 242.303)

Regulation Blackout Trading Restriction (Part 245)

Regulation Crowdfunding, General Rules and Regulations (Part 227)

Regulation FD (Part 243)

Regulation G (Part 244)

Regulation M (242.100 to 242.105)

Regulation M-A (229.1000 to 229.1016)

Regulation NMS—Regulation of the National Market System (242.600 to 242.613)

Regulation R—Exemptions and Definitions Related to the Exceptions for Banks from the Definition of Broker (Part 247)

Regulation S-AM: Limitations on Affiliate Marketing (248.101 to 248.128)

Regulation SB SEF (PROPOSED) (242.800 to 242.823)

Regulation SBSR—Regulatory Reporting and Public Dissemination of Security-Based Swap Information (242.900 to 242.909)

Regulation SCI—Systems Compliance and Integrity (242.1000 to 242.1007)

Regulation SHO—Regulation of Short Sales (Part 242.200 to 242.204)

Regulation S-ID: Identity Theft Red Flags (248.201 to 248.202)

Regulation S-K (229.10 to 229.915 and 229.1201 to 229.1208)

Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information (248.1 to 248.100)

Regulation S-T—General Rules and Regulations for Electronic Filings (Part 232)

Regulation S-X (Part 210)

Regulations under Individual Paragraphs of Various Acts (Parts 285 to 290)

Rules of Practice, including Forms (Parts 201 and 209)

Rules Relating to Debt Collection (Part 204)

Rules Relating to Investigations (Part 203)

Securities Act Forms (Part 239)

Securities Act Rules (Part 230)

Securities Exchange Act Forms (Parts 249 and 249b)

Securities Exchange Act Rules (Part 240)

Securities Investor Protection Corporation Forms (301)

Securities Investor Protection Corporation Rules (Part 300)

Standards of Professional Conduct for Attorneys Appearing and Practicing before the Commission in the Representation of an Issuer (Part 205)

Trust Indenture Act Forms (Part 269)

Trust Indenture Act Rules (Part 260)

Volcker Rule (SEC Version) (Part 255)