Helpful Resources for Our Clientele
Lucosky Brookman provides clients with beneficial resources including financial forms, SEC deadlines and information regarding industry regulations.
Desktop Reference
Rule 144
Form 8K
Documentation
The Securities Act of 1933
The Exchange Act of 1934
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)
Description of Securities Act Forms
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
Regulation S-K