Introduction

The Securities Lawyer's Deskbook contains the text of the basic federal securities laws and regulations, as well as links to the principal Securities and Exchange Commission forms under those laws and regulations. The Deskbook is designed primarily for use by legal practitioners and scholars, securities professionals, and corporate officers. It can also be used as a digital supplement in law school courses on the federal regulation of securities. See Terms and Conditions of Use.

The Securities Lawyer's Deskbook contains the text of the Securities Act of 1933, as amended (the "1933 Act"), the Securities Exchange Act of 1934, as amended (the "1934 Act"), the Investment Company Act of 1940, the Investment Advisers Act of 1940, the rules promulgated under those Acts, and Regulations S-K, S-B, S-X, S-T, S-P, M-A, FD, M and ATS. It also contains the Sarbanes-Oxley Act of 2002, as well as a printable (PDF) version of the Act and a hyperlinked table of changes affected by the Act.

The data on any page of the Securities Lawyer's Deskbook can be checked for incorporation of the latest regulatory or legislative action by reviewing the history note at the bottom of each page. The editorial staff regularly reviews the files in the Deskbook to keep the text accurate and up to date. But those who intend to rely on data in the Securities Lawyer's Deskbook must satisfy themselves regarding the accuracy of the information in question.