Securities
- Agencies / Organizations
- Wisconsin
- WI Dept. of Financial Institutions
- Securities & Licensing
Provides definitions of & information about broker-dealers, investment advisors, investment adviser representatives & securities agents.
- Securities & Licensing
- WI Dept. of Financial Institutions
- National
- U.S. Securities & Exchange Commission
- Investor Information
Provides information about investing wisely & avoiding fraud. - SEC Filing & Forms: EDGAR Database
- SEC News Digest
- Statements
by Company CEOs and CFOs
List of companies whose CEOs & CFOs are required to file sworn statements with the Securities and Exchange Commission. Statements will be posted to the website as they are received.
- Investor Information
- FINRA
"The largest non-governmental regulator for all securities firms doing business in the United States." Every securities firm doing business with the American public must, by law, register with FINRA. Also assists in the arbitration and mediation of securities disputes.- Filing and Reporting
- BrokerCheck
- BondInfo
- CRD (Central Registration Depository)
- TRACE (Trade Reporting and Compliance Engine)
- Rules
- Filing and Reporting
- Municipal Securities Rulemaking Board
- U.S. Securities & Exchange Commission
- Wisconsin
- BASIC
(Background Affiliation Status Information Center) (National
Futures Association)
Database contains Commodity Futures Trading Commission registration & NFA membership information. Also contains regulatory & non-regulatory actions contributed by NFA, CFTC & the U.S. futures exchanges.
- Complaints
- Brokerage Firms / Securities Agents (WI Dept. of Financial Institutions)
- FINRA Complaints
- SEC Complaints (U.S. Securities & Exchange Commission)
- EDGAR
- EDGAR Filings & Forms (US SEC)
- EDGAR Filings & Forms (US SEC)
- Forms
- Securities
Registration Form, Securities Licensing Forms & Franchising Forms (WI
Dept. of Financial Institutions)
- Securities
Registration Form, Securities Licensing Forms & Franchising Forms (WI
Dept. of Financial Institutions)
- Securities Class Action Clearinghouse (Stanford Law School)
- Securities Lawyer's Deskbook (Univ. of Cincinnati College of Law)
The Law (Additional statutes, regulations & opinions may apply to your specific situation.)
- WI Statutes: ch. 551-553 "Investment Regulation and Business Development"
- WI Statutes: s. 705.21 - 705.31 "Transfer on Death Security Registration"
- WI Admin. Code: DFI-SEC 1-36
- U.S. Code: Title 15, ch. 2A "Securities and Trust Indentures"
- U.S. Code: Title 15, ch. 2B "Securities Investor Protection "
- Federal laws
- Laws That Govern the Securities
Industry (U.S. Securities & Exchange Commission)
Includes: Securities Act of 1933; Securities Exchange Act of 1934; Public Utility Holding Company Act of 1935; Trust Indenture Act of 1939; Investment Company Act of 1940; Investment Advisers Act of 1940. - Sarbanes-Oxley
Act of 2002: Public Law 107-204
Access full-text of the Act, House committee reports, references in the Congressional Record & history of the bill.
- Laws That Govern the Securities
Industry (U.S. Securities & Exchange Commission)
Search for more statutes, regulations & opinions
Related Topics
Library Resources
- Federal securities law
- Federal Securities Law Reporter
- Fundamentals of Securities Regulation
- Modern Securities Transfers
- Securities Regulation
- Securities Resources
- Specialized Legal Research