There are two primary sets of federal securities laws that come into play when a company wants to offer and sell its securities securities act of 1933 securities act securities exchange act of 1934 exchange act. There are five major federal securities laws securities act of 1933 regulating distribution of new securities securities exchange act of 1934 regulating trading securities brokers and exchanges trust indenture act of 1939 regulating debt securities investment company act of 1940 . Federal securities law a securities lawyer guide the sec finra the states and much more mark j astarita is a nationally known securities attorney with over 30 years introduction the history of the securities regulation and federal securities law are well beyond the scope of this federal
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