Parallax - Regulatory Resources

resources and links


Securities and Exchange Commission
Main SEC Site Broker-Dealers Investment Advisors Search Investment Advisors on IAPD	Securities Exchange Act of 1934 Rules 17a-3 and 17a-4 Investment Advisors Act of 1940 Rules and Regulations

*National Association of Securities Dealers*
Main NASD Site Rules and Regulations NASD Manual Online	Information for Small Firms Information for Brokers

*Other Useful Resources*
NASAA - North American Securities Administrator's Association Model Rules