SEC Rules and Regulations

Learn the basics of SEC Rules and Regulations with these helpful links about the SEC laws and rules and the Division of Investment Management. These articles are directly from the United States Government and explain the different acts that came about in 1940 regarding investment companies and advisors. Below you’ll find links for the Investment Advisors Act and the Investment Company Act. We also have links to important information from the Division of Investment Management including Topical Reference Guide, No-Action Letters and Information Updates. Don’t be left behind when it comes to the SEC. Stay up to date on the latest SEC Rules and Regulations with our help.

SEC Laws and Rules

Investment Advisers Act of 1940

Rules under the Investment Advisers Act of 1940

Investment Company Act of 1940

Rules under the Investment Company Act of 1940

Division of Investment Management

Topical Reference Guide

No-Action Letters

Information Updates