Federal Securities Laws: Selected Statutes, Rules and Forms, 2020-2021 Edition

This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. It is the most complete supplement available and is regularly updated and revised. Contents include the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, SEC Rules of Practice, and related federal laws. It contains many changes from the prior year’s version, including:

• Amendments to Regulation A;
• Amendments to Regulation C;
• Amendments to Regulation S–K;
• Amendments to Regulation S–X;
• Amendments to Regulation S–T;
• Amendments to Regulation 12B;
• Amendments to Regulation 14A;
• Amendments to Regulation NMS;
• New Securities Act Rule 163B allowing issuer communications with certain investors prior to or following the filing of a registration statement;
• New Securities Act Rule 13–01 and Rule 13–02 regarding financial disclosure requirements for certain guarantors and issuers of guaranteed securities;
• New Exchange Act Rule 15Fi–3 and Rule 15Fi–4 regarding risk mitigation techniques for security based swap portfolios; and Rule 15Fi–5 regarding security-based swap trading relationship documentation;
• New Exchange Act Rule 18a–5 through Rule 18a–9 regarding recordkeeping and reporting requirements for certain security-based swap dealers and major security-based swap participants;
• New Investment Company Act Rule 6c–11 regarding exchange-traded funds;
• Amendments to various forms.

This edition has a cutoff date of November 9, 2020. Certain changes will not be effective until after the cutoff date for this edition; those effective dates are set forth in the accompanying footnotes. The effective date for certain other changes will be determined based on when they are published in the Federal Register. Those effective dates are not yet set as of the cutoff date for this edition. The text for those changes is based on the original SEC-published releases.