What Are The Federal Securities Laws?

Congress enacted the Federal Securities Laws In an effort to curb future excesses and to provide fair disclosure to investors. The Securities and Exchange Commission (SEC) administers these laws. Under Federal Law, there are four major "Acts" that are related to securities. These are: · The Securities Act of 1933 (Securities Act), · The Securities Exchange Act of 1934 (Exchange Act), · The Investment Company Act of 1940 (Investment Company Act), · The Investment Advisers Act of 1940 (Advisers Act).

The information on this page is meant to provide a general overview of the law. The laws in your state and/or city may deviate significantly from those described here. If you have specific questions related to your situation you should speak with a local attorney.

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