Resources

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This section is designed to help you be more efficient by
getting you the answers you need quickly and economically.

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Regulatory Framework

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If you are new to compliance or need a refresher this document is a great place to start.
Unfortunately, the SEC has not updated it since 2013.
​Regulation of Registered Investment Advisers by the SEC, Division of Investment Management, U.S. Securities and Exchange Commission.
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Laws, Rules, and Regulations

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Investment Advisers Act of 1940  related rules
Investment Company Act of 1940  related rules
Securities Act of 1933 related rules
Securities Exchange Act of 1934 related rules
Sarbanes-Oxley Act of 2002-1
Dodd-Frank Wallstreet Reform and Consumer Protection Act of 2010
Jumpstart Our Business Startups Act 2012
Regulations S-P,  S-AM and S-ID

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Reference Materials

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Topical Reference Guide
Releases for the proposed and final rules
Topical No-action letters 
 Administrative proceedings 
Civil lawsuits by the SEC
Office of Compliance Inspections and Examinations
SEC Compliance Outreach Program
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State Regulators

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North American Security Administrators Association