844.443.5529

info@bgelaw.com

Twitter Linkedin

844.443.5529

info@bgelaw.com

Resources

Federal, State and Self-Regulatory Organizations

U.S. Securities and Exchange Commission (SEC)

North American Securities Administrators Association, Inc

List and Contact Information for State Securities Commission

Contact Information for State, Provincial and Territorial Securities Administrators of North America

Financial Industry Regulatory Authority, Inc.(FINRA)

National Futures Association (NFA)

Municipal Securities Rulemaking Board (MSRB)

Arbitration and Litigation

Securities Act of 1933

Securities Exchange Act of 1934

Investment Advisers Act of 1940

Investment Company Act of 1940

SEC Staff No-Action, Interpretive and Exemptive Letters

Securities

Edgar Database

Small Business and the SEC – A Guide for Small Business on Raising Capital

SEC – Regulation D Offerings

Regulation D – Code of Federal Regulations

N.Y. Times: Dealbook

Broker-Dealers

Financial Industry Regulatory Authority, Inc. (FINRA)

FINRA Manual and Rules

FINRA Regulatory Notices

FINRA Annual Examination Priorities Letters

Broker-Dealers – SEC Division of Trading and Markets

Broker-Dealer Reports – A Small Entity Compliance Guide

Final Model Privacy Form Under the Gramm-Leach-Bliley Act – A Small Entity Compliance Guide

Investment Advisers

Information for Newly-Registered Investment Advisers – SEC Division of Investment Management and Office of Compliance Inspections and Examinations

Investment Advisers – SEC’s Division of Investment Management Reference Guide

Final Model Privacy Form Under the Gramm-Leach-Bliley Act – A Small Entity Compliance Guide

Investment Adviser Public Disclosure

Certified Financial Planner (CFP) Board of Standards, Inc

Corporate

Delaware Limited Liability Company Act


Delaware Revised Uniform Limited Partnership Act


Delaware Revised Uniform Partnership Act


General Corporation Law of the State of Delaware

Delaware Statutory Trust Act


State of Delaware – Division of Corporations


California Code


California Secretary of State – Business Programs

News and Other Sites of Interest

The Wall Street Journal

The New York Times

Investment News

Forbes

Los Angeles Times

Orange County Register

San Diego Union-Tribune

Google News: Securities

Public Company Accounting Oversight Board

The 10b-5 Daily

Securities Class Action Clearinghouse

U.S. Securities and Exchange Commission (SEC)

North American Securities Administrators Association, Inc.

List and Contact Information for State Securities Commission

Contact Information for State, Provincial and Territorial Securities Administrators of North America

U.S. Commodity Futures Trading Commission (CFTC)

Financial Industry Regulatory Authority, Inc. (FINRA)

National Futures Association (NFA)

Municipal Securities Rulemaking Board (MSRB)

Federal Securities Law and Selected Material

Securities Act of 1933

Securities Exchange Act of 1934

Investment Advisers Act of 1940

Investment Company Act of 1940

SEC Staff No-Action, Interpretive and Exemptive Letters

Interested in our services?
We would appreciate hearing from you.

contact us