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Our Firm
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Rules and Regulations

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Securities Laws

SEC

Securities Act of 1933
Securities Exchange Act of 1934
Trust Indenture Act of 1939
Investment Company Act of 1940
Investment Advisers Act of 1940
Sarbanes-Oxley Act of 2002
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
Jumpstart Our Business Startups Act of 2012
Rules and Regulations
Regulation D

CFTC

Commodities Exchange Act (Title 17)

NFA

FINRA

Industry Associations

NASAA
Managed Funds Association

Individual State Securities Agencies

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CAPITAL FUND LAW GROUP

(212) 203-4300

info@capitalfundlaw.com

1700 Broadway, 41st Floor
New York, New York 10019

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