Author Description

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, Securities 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, including: Amendments to Regulation S-K; Amendments to Regulation S-T; Amendment to Regulation M; Amendment to certain Investment Company Act rules that govern money market funds; Amendments and new rules under the Advisers Act regarding private fund advisers; New Exchange Act Rule 9j-1 and new Exchange Act Rule 15fh-4(c); Amendments to Exchange Act Rule 15c6-1; Amendments to Exchange Act Rule 10b5-1 and new disclosure requirements; New rule and rule amendments to implement Section 954 of the Dodd-Frank Act; Amendments to certain electronic recordkeeping requirements; Updates to the EDGAR Filer Manual; and Amendments to various forms. This edition has a cutoff date of September 8, 2023.