Resource Center

Helpful Resources for Our Clientele

Lucosky Brookman provides clients with beneficial resources including financial forms, SEC deadlines and information regarding industry regulations.

Desktop Reference

2021 SEC Filing Deadlines

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Rule 144

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Form 8K

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Documentation

The Securities Act of 1933

View The Securities Act

The Exchange Act of 1934

View Exchange Act

The Investment Company Act of 1940

View The Investment Company Act

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.

View JOBS Act

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.

View Dodd-Frank

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.

View SOX Act

General Rules and Regulations, Securities Act of 1933

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Rule 144

Persons Deemed Not To Be Engaged In A Distribution and Therefore Not Underwriters

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Rule 147

Exemption for Intrastate Offers and Sales of Securities

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Rule 155

Integration of Abandoned Offerings

Rule 155

Regulation A

Conditional Small Issues Exemption

Regulation A

Regulation C

Registration and Filing Requirements

View Regulation C

Regulation D

Rules Governing the Limited Offer and Sale Of Securities Without Registration Under the Securities Act

View Regulation D

Rule 701

Exemption For Offers and Sales of Securities Pursuant To Certain Compensatory Benefit Plans And Contracts Relating To Compensation

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Regulation S

Rules Governing Offers and Sales Made Outside The United States Without Registration Under The Securities Act)

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Description of Securities Act Forms

View Description of Securities Act

General Rules and Regulations, Securities Act of 1934

View Securities Act Regulations

Regulation 12B

Exchange Act Registration and Reporting

View Regulation 12B

Regulation 13D and 13G

Securities Ownership

View Regulation 13D

Schedule 13D

Statement Of Beneficial Ownership

View Schedule 13D

Schedule 13G

Statement Of beneficial ownership

View Schedule 13G

Rule 13e-3

Going Private Transactions

View Rule 13e-3

Regulation 14A

Proxy Rules

View Regulation 14A

Schedule 14A

Proxy Statement Pursuant To Section 14(a) Of The Exchange Act

View Schedule 14A

Regulation 14C

Distribution Of Information Pursuant To Section 14(c) Of The Exchange Act

View Regulation 14C

Schedule 14C

Information Statement Pursuant To Section 14(c) Of The Exchange Act

View Schedule 14C

Section 16 Rules

Ownership Reports and Trading By Officers, Directors And Principal Security Holders

View Section 16

Regulation FD

Fair Disclosure

View Regulation FD

Regulation BTR

Blackout Trading Restrictions

View Regulation BTR

Descriptions of Exchange Act Forms

Forms Prescribed Under The Exchange Act

View Exchange Act Descriptions

Industry Guides

Securities Act and Exchange Act Industry Guides

View Industry Guides

Regulation S-K

View Regulation S-K