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Company & Industry Information: Laws & Regulations

This guide will help you compile a company or industry profile, including locating SEC financial materials and demographic information.

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For more information on laws and regulations in general, please see the Primary Sources tab in the guide below.

Federal Laws & Regulations

Below are the "main" laws applicable to federal securities.

More information on the Acts mentioned above can be found on the SEC website

Proposed and adopted final regulations are published in the Federal Register.

All final regulations are published in Title 17 of the C.F.R.

Locating regulations in the C.F.R.

  • Part 230, Securities Act of 1933

  • Part 240, Securities Exchange Act of 1934

  • Part 250, Public Utility Holding Company Act of 1935

  • Part 260, Trust Indenture Act of 1939

  • Part 270, Investment Company Act of 1940

  • Part 275, Investment Advisors Act of 1940

  • Part 300, Securities Investor Protection Act

These and other major securities regulations can be found on the SEC website.

Locating correct rules

  • E.g. Rule 10b-5 of the Securities Exchange Act of 1934 is found in 17 C.F.R. 240.10b-5

State Laws

Although the world of securities is mainly overseen and regulated by the SEC and federal laws and regulations, states do have their own securities laws and regulations.  These are known as Blue Sky Laws

You can find state securities laws in CCH Intelliconnect.

In Pennsylvania, the Pennsylvania Department of Banking & Securities oversees state securities laws and regulations.  Click here for detailed information on PA securities law.

For more information on Blue Sky Laws, see Cornell's Legal Information Institute.