CLIENT REFERENCE MATERIALS
The Investment Company Act of 1940
Jumpstart Our Business Startups Act (JOBS Act)
The JOBS Act requires the SEC to write rules and issue studies on capital formation, disclosure and registration requirements.
Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank)
The Dodd-Frank Act was written to promote the financial stability of the United States by improving accountability and transparency in the financial system, to end ‘‘Too Big To Fail’’, to protect the American taxpayer by ending bailouts, to protect consumers from abusive financial services practices, and for other purposes.
Sarbanes-Oxley Act of 2002 (SOX)
SOX was written to protect investors by improving the accuracy and reliability of corporate disclosures made pursuant to the securities laws, and for other purposes.
General Rules and Regulations, Securities Act of 1933
Rule 144 Persons Deemed Not To Be Engaged In A Distribution and Therefore Not Underwriters
Rule 147 Exemption for Intrastate Offers and Sales of Securities
Rule 155 Integration of Abandoned Offerings
Regulation A Conditional Small Issues Exemption
Regulation C Registration and Filing Requirements
Regulation D Rules Governing the Limited Offer and Sale Of Securities Without Registration Under the Securities Act
Rule 701 Exemption For Offers and Sales of Securities Pursuant To Certain Compensatory Benefit Plans And Contracts Relating To Compensation
Regulation S Rules Governing Offers and Sales Made Outside The United States Without Registration Under The Securities Act)
General Rules and Regulations, Securities Act of 1934
Regulation 12B Exchange Act Registration and Reporting
Regulation 13D and 13G Securities Ownership
Schedule 13D Statement Of Beneficial Ownership
Schedule 13G Statement Of beneficial ownership
Rule 13e-3 Going Private Transactions
Regulation 14A Proxy Rules
Schedule 14A Proxy Statement Pursuant To Section 14(a) Of The Exchange Act
Regulation 14C Distribution Of Information Pursuant To Section 14(c) Of The Exchange Act
Schedule 14C Information Statement Pursuant To Section 14(c) Of The Exchange Act
Section 16 Rules Ownership Reports and Trading By Officers, Directors And Principal Security Holders
Regulation FD Fair Disclosure
Regulation BTR Blackout Trading Restrictions
Descriptions of Exchange Act Forms Forms Prescribed Under The Exchange Act
Industry Guides Securities Act and Exchange Act Industry Guides
