Newsletters
Registration Requirements for Securities Brokers and Dealers
Most brokers and dealers are required under Section 15 of the Securities Exchange Act of 1934 to register with the Securities and Exchange Commission and with a self-regulatory organization such as a national stock exchange before engaging in the securities business.
Closed-End Funds
The three basic types of investment companies regulated under the Investment Company Act of 1940 are closed-end funds, mutual funds, and unit investment trusts. Closed-end funds must be registered with the Securities and Exchange Commission. Such funds are regulated under the Investment Company Act of 1940 and are subject to the Securities Act of 1933 and the Securities Exchange Act of 1934. Regulations have been issued by the Securities and Exchange Commission to govern the operation of closed-end funds.
Securities Law> Additional Offerings, Disclosure & the Securities Exchange Act of 1934> Issuer Reports & Recordkeeping
(Fair Disclosure Requirements for Public Companies)
Mediation of Securities Disputes
Broker-dealer members of the National Association of Securities Dealers are required to arbitrate their disputes with investors. Also, the agreement signed by investors to trade through broker-dealers normally contains a provision requiring the investors to arbitrate their disputes with the broker-dealers rather than litigate such disputes. However, mediation is an additional method for resolving disputes that may be used prior to or in addition to mediation.
Consumer Law
(Proper Disposal of Consumer Information)
