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Purpose of RegistrationĪ primary means of accomplishing these goals is the disclosure of important financial information through the registration of securities.

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See the full text of the Securities Act of 1933.

prohibit deceit, misrepresentations, and other fraud in the sale of securities.

require that investors receive financial and other significant information concerning securities being offered for public sale and.

Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives:

Jumpstart Our Business Startups Act of 2012.

Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.

If you have questions concerning the meaning or application of a particular law, please consult with an attorney who specializes in securities law. These links are provided for the user's convenience and may not reflect all recent amendments. Note: Except as otherwise noted, the links to the securities laws below are from Statute Compilations maintained by the Office of the Legislative Counsel, U.S.

The Laws That Govern the Securities Industry.

Researching the Federal Securities Laws Through the SEC Website.

Structured Notes with Principal Protection.

Smart Beta, Quant Funds and other Non- Traditional Index Funds.

Mutual Funds and Exchange-Traded Funds (ETFs).

Publicly Traded Business Development Companies (BDCs).

Stock Purchases and Sales: Long and Short.

Pay Off Credit Cards or Other High Interest Debt.

Public Service Campaign (new) – “Investomania”.Required Minimum Distribution Calculator.Investment Professional Background Check.Working with an Investment Professional.Five Questions to Ask Before You Invest.