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The Laws That Regulate the Securities Industry

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Since the first legislative steps to regulate the securities' industry, Congress has passed several major legislative packages.  These acts and other pieces of legislation are enumerated below, with the links to the full texts of the statutes:


  Securities Act of 1933


  Securities Exchange Act of 1934


  Trust Indenture Act of 1939


  Investment Company Act of 1940


  Sarbanes-Oxley Act of 2002


Additional info and links
     For Assets
Recovery Program