Securities Laws that Impact Startups

Dodd-Frank Act of 2010

Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

The Dodd-Frank Wall Street Reform and Consumer Protection Act was signed into law on July 21, 2010 by President Barack Obama. Introduced by Senators Chris Dodd, and Barney Frank,...

Startups Act of 2012

The Jumpstart Our Business Startups Act (the “JOBS Act”) was enacted on April 5, 2012. The JOBS Act aims to help businesses raise funds in public capital markets by minimizing regulatory requirements.

Securities Act of 1933

The Securities Act

Often referred to as the “truth in securities” law, the Securities Act of 1933 has two basic objectives:

Securities Exchange Act of 1934

Securities Exchange Act

With this Act, Congress created the Securities and Exchange Commission. The Act empowers the SEC with broad authority over all aspects of the securities industry. This includes the power to register, regulate, and oversee...

Trust Indenture Act of 1939

Trust Indenture Act

This Act applies to debt securities such as bonds, debentures, and notes that are offered for public sale. Even though such securities may be registered under the Securities Act, they may not be offered for sale to the public...

Investment Company Act of 1940

Investment Company Act of 1940

This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the investing public. The...

Investment Advisors Act of 1940

Investment Advisers Act

This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for advising others about securities investments must register with the SEC and conform to...

Sarbanes-Oxley Act of 2002

Sarbanes-Oxley Act of 2002

On July 30, 2002, President Bush signed into law the Sarbanes-Oxley Act of 2002, which he characterized as “the most far reaching reforms of American business practices since the time of Franklin Delano Roosevelt.” The Act...

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