Federal Securities Laws

This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. It is the most complete supplement available and is regularly updated and revised. Contents include the Securities Act of 1933, Security Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, SEC Rules of Practice, and related federal laws. It contains many changes from the prior year's version:

- Changes to Regulation S-K;
- Changes to Regulation S-X;
- New Securities Act Rule 135d regarding communications involving security-based swaps;
- Amendment of Securities Act Rule 701;
- Temporary relief from certain crowdfunding reporting requirements in Securities Act Rule 203; and
- Temporary Investment Company Act Rule 30b1-9(T) regarding monthly reports on Form N-PORT.
This edition has a cutoff date of September 15th, 2018.