Chapter 1: Overview of the Federal Securities Laws
§ 1.1  The Securities Act of 1933
§ 1.2  The Securities Exchange Act of 1934
§ 1.3  The Investment Advisers Act of 1940
§ 1.3.1  Introduction to the Advisers Act
§ 1.3.2  Disclosure Obligations Under the Advisers Act
§ 1.3.3  Record-Keeping Requirements
§ 1.3.4  Delivery of Disclosure to Clients
§ 1.3.5  SEC Enforcement
§ 1.3.6  State Investment Adviser Regulation
§ 1.4  The Investment Company Act of 1940
§ 1.4.1  Introduction to the Company Act
§ 1.4.2  Business Development Companies and Small Business Investment Companies
§ 1.5  Other Laws
§ 1.5.1  Public Utility Holding Company Act of 1935
§ 1.5.2  Trust Indenture Act of 1939
§ 1.5.3  Promotion of Efficiency, Competition, and Capital Formation
Appendix: Four Simple Rules for 1933 Act Compliance