Securities Law Statutes and Registration Frameworks

These entries cover the legal frameworks that define securities, registration duties, federal and state authority, and the statutes used to regulate offerings and markets.

In this section

• Securities Definition and Registration Tests
  Securities-law terms for defining securities, testing investment contracts, and applying federal registration duties.
  • Federal Securities Laws
    Core U.S. federal statutes and rules governing securities issuance, disclosure, trading, investment companies, and adviser conduct.
  • Howey Test: Definition and Implications for Cryptocurrency
    An in-depth explanation of the Howey Test, its historical context, criteria for defining an investment contract, and its significant implications for the cryptocurrency market.
  • Securities Act of 1933
    Foundational U.S. securities statute requiring registration and disclosure for many public offerings while prohibiting fraud in securities sales.
  • Securities Law
    Body of law governing securities issuance, trading, disclosure, and enforcement to protect investors and maintain fair markets.
• State Law, Reform, and Systemic Regulation
  Securities-regulation terms for Blue Sky law, state securities rules, uniform acts, federal preemption, and post-crisis reform.
  • Blue-Sky Law
    State-level securities law that regulates offerings, registration, broker activity, and anti-fraud enforcement to protect investors.
  • Dodd-Frank Act: Comprehensive Financial Reform
    A comprehensive set of financial regulations passed in 2010 aimed at preventing the recurrence of events that led to the 2007-2008 financial crisis.
  • National Securities Markets Improvement Act (NSMIA): Streamlining U.S. Securities Regulation
    The National Securities Markets Improvement Act of 1996 (NSMIA) simplified U.S. securities regulation by centralizing regulatory authority and reducing duplicative state-level oversight.
  • State Securities Regulations
    State-level securities rules governing offerings, broker-dealer activity, exemptions, and investor protection within each state.
  • Uniform Securities Act: Overview, Application, and Impact
    An in-depth examination of the Uniform Securities Act, its historical context, fundamental principles, and applications in prosecuting securities fraud.