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Securities Law & Regulation: Home

Secondary sources and primary laws. Information on federal agencies and special interest groups. Securities filing search.

Securities Law in Brief

Securities regulation is implemented by a mix of overlapping statutes, regulations, and self-regulating organizations. Securities regulation encompasses everything from securities markets, the broker-dealers who trade in securities, investment advisers, companies that are publicly traded in the US and the managers of those companies.

General Overview

Video Tutorial on Securities (also called Stocks or Shares)

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