U.S. Government Resources: Securities

See more about this topic in the Dickinson Legal Research Resources:
DSL LegalLinks: Securities

Commodity Futures Trading Commission
http://www.cftc.gov/cftc/cftchome.htm

The Commodity Futures Trading Commission (CFTC) was created by Congress in 1974 as an independent agency with the mandate to regulate commodity futures and option markets in the United States. The agency protects market participants against manipulation, abusive trade practices and fraud.

Commodity Futures Trading Commission Opinions & Orders
http://www.cftc.gov/lawandregulation/opinionsandorders/index.htm

This web site provides links to opinions and orders from 1997 to the present.

EDGAR (Electronic Data Gathering, Analysis and Retrieval)
http://www.sec.gov/edgar.shtml

All companies, foreign and domestic, are required to file registration statements, periodic reports, and other forms electronically through EDGAR. Anyone can access and download this information for free, and EDGAR now contains real-time public company filings.

Federal Trade Commission
http://www.ftc.gov

The Federal Trade Commission enforces a variety of federal antitrust and consumer protection laws.

Federal Trade Commission Formal Actions
http://www.ftc.gov/os/index.shtml

FTC's Formal Actions web site contains links to advisory opinions, compliance materials, rules and guides, regulatory reform, and much more.

Internal Revenue Service (IRS)
http://www.irs.gov/

The Internal Revenue Service is the nation's tax collection service. This comprehensive web site provides information for individuals, businesses, charities and non-profits, government entities, and tax professionals. Search engines are available for the whole site and for forms and publications.

Investment Adviser Public Disclosure
http://www.adviserinfo.sec.gov

You can search for an investment adviser firm on this website and view that firm’s Form ADV. Investment advisers file Form ADV to register with the SEC and/or the states. Form ADV contains information about an investment adviser and its business operations, as well as disclosure about certain disciplinary events involving the adviser and its key personnel.

Municipal Securities Rulemaking Board (MSRB)
http://www.msrb.org/msrb1/

The MSRB, established by Congress in 1975, is responsible for setting standards that regulate all securities firms and banks involved in underwriting, trading, and selling municipal securities. The Board is subject to oversight by the Securities and Exchange Commission (SEC).

Securities and Exchange Commission
http://www.sec.gov/

The Securities and Exchange Commission protects investors and maintains the integrity of the securities markets.

Securities and Exchange Commission Division of Enforcement
http://www.sec.gov/divisions/enforce.shtml

The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and negotiates settlements. Administrative proceedings, initial decisions and orders, commission opinions, and more are available here.