Capital Markets

SYNOPSIS

§ The Exchange Act of 1934

§ Form 8-K

§ Form 10-K

§ Form 10-Q

§ The Investment Advisors Act of 1940

§ The Investment Company Act of 1940

§ Public Company Reporting

§ Regulation S-K

§ Regulation S-X

§ The Securities Act of 1933

§ Securities Exchanges

§ The Trust Indenture Act of 1939

§ Other Federal Securities Laws and Rules

See also History of Securities Regulation, and Anti-trust Compliance Measures.