Compliance
Regulatory Links
Commodity Futures Trading Commission
www.cftc.gov -
http://www.cftc.gov/ You can search any and all exemptions!.Securities and Exchange Commission
www.sec.gov
Federal regulation of the securities industry.
National Futures Association
www.nfa.futures.org -
Equivalent to the NASD but for futures and options. Search forms related to exemptions, and do background checks on everyone in the industry you can do business with. The NFA's investor education center is especially useful.Alternative Investment Management Association
http://www.aima.org/aima.asp?id=42
Offers a superior collection of international regulatory and association links directly related to hedge funds, managed futures and other alternativesNational Association of Securities Dealers
www.nasd.com
NASD is the leading private-sector provider of financial regulatory services, dedicated to bringing integrity to the markets and confidence to investors through effective and efficient regulation and complementary compliance and technology-based services. NASD touches virtually every aspect of the securities business -- from registering and educating all industry participants, to examining securities firms, enforcing both NASD rules and the federal securities laws, and administering the largest dispute resolution forum for investors and member firms.www.seclaw.com
Serves as an online guide to SEC law. The site carries current news of the activities of the SEC, NASD and other organizations, and answers questions about Chapter 11 reorganization, customer arbitrations, penny stocks, and other topics. Oriented toward knowledgeable and professional investors.Cornell University Legal Information
http://www.law.cornell.edu
Cornell University Legal Information Institute - Search by topic
http://www.senate.state.ny.us
State Statues for New York - Use your state in place of New York.http://www.courts.state.ny.us/pubacc.html
Public access law libraries - again replace New York with your state- You can research court rulings for FREE!http://www.lexisone.com/legalresearch/
Great access to FREE legal research from Lexis.New York University Law
http://www.law.nyu.edu
GO TO: Legal Resources - GO TO: Legal Topics- Securities Resources - State Regulators are listed. Look under exemptions pertaining to your situation.www.irs.gov - Guess Who?
www.nasaa.org
North American Securities Administrators Association Inc.
West Group 1-800-340-9378 ask for their listing on Sec.'s books. (Thank you Caren !)http://www.nolo.com
Using the Site Map to locate their research section, You can find the US Codes, Federal Rules of Civil Procedure, Fed Code of Regulations, State Statutes
