Securities Law: Links

Investing your money can be overwhelming if you lack an understanding of securities law and your rights as an investor. Before you take the plunge, you should research not only prospective investments but also the legal framework governing securities as well. Below, you’ll find links to nonprofit groups, academic institutions, trade organizations, and other entities offering information for investors. Explore the resources to learn more about your rights as an investor, securities laws and regulations, and more.

In General:

• American Association of Individual Investors Nonprofit organization that specializes in providing education in the areas of stock investing, mutual funds, portfolio management and retirement planning.
• Investor Protection Trust Offers non-commercial investor education materials.
• North American Securities Administrators Association Voluntary association of securities administrators in the 50 states, the District of Columbia, Puerto Rico, Canada, and Mexico. Provides investor education and protection resources.
• National Association of Investors Corporation Offers educational materials for individual investors and investment clubs.
• Financial Industry Regulatory Authority (FINRA) - Regulates the securities industry and oversees virtually all U.S. stockbrokers and brokerage firms.
• Securities Investor Protection Corporation Nonprofit membership corporation, created by the Securities Investor Protection Act, dedicated to restoring funds to investors with assets in the hands of bankrupt and otherwise financially troubled brokerage firms.
• Securities Lawyer's Deskbook From University of Cincinnati College of Law. Full text of selected securities laws and regulations.

Stock Exchanges:

• American Stock Exchange
• NASDAQ
• New York Stock Exchange

Laws:

• Administrative Law Judges Decisions
• Commodity and Securities Exchanges Regulations Code of Federal Regulations (CFR), Title 17.
• Private Securities Litigation Reform Act of 1995
• Securities Exchange Laws U.S. Code, Title 15, Chapter 2B.
• Securities Lawyer's Deskbook From the Center for Corporate Law, University of Cincinnati College of Law. Includes texts to the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940.
• U.S. Securities and Exchange Commission Opinions
• U.S. Securities and Exchange Commission Regulatory Actions Includes proposed rules, final rules, concept releases, interpretive releases, policy statements and more.
• U.S. Securities and Exchange Commission Rules of Practice
• U.S. Securities and Exchange Commission Staff Interpretations Includes staff accounting bulletins, staff legal bulletins and telephone interpretations.
• U.S. Securities and Exchange Commission Trading Suspensions