Regulatory Reference Library

TTP's curated corpus of US securities and digital asset regulatory documents — used to power The Advisor's regulatory analysis.

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SEC Acts8 documents

Electronic Signatures in Global and National Commerce (ESIGN) Act

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Investment Advisers Act of 1940

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Investment Company Act of 1940

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Investment Company Act of 1940 — Sections 3(c)(1) and 3(c)(7) Exemptions

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Jumpstart Our Business Startups (JOBS) Act of 2012

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Securities Act of 1933

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Securities Exchange Act of 1934

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UCC Article 8 — Investment Securities

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SEC Rules10 documents

Regulation A+ — Small Company Capital Formation

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Regulation ATS — Alternative Trading Systems

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Regulation Crowdfunding (Regulation CF)

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Regulation D — Exempt Offerings (Rules 504, 506(b), 506(c))

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Regulation S — Offshore Transactions

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Regulation S-P (Privacy) and Regulation SCI (Systems Compliance and Integrity)

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Regulation T — Credit by Brokers and Dealers

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Rule 144 and Rule 144A — Resale of Restricted and Control Securities

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SEC Rule 15c2-11 — Publication of Quotations for Specified Securities

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Transfer Agent Regulations — SEC Rules 17Ad Series

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SEC Guidance & No-Action Letters11 documents

Munchee Inc. — SEC Cease-and-Desist Order (December 2017)

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Pocketful of Quarters, Inc. — No-Action Letter (July 2019)

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Recent SEC Digital Asset Rulemaking, Enforcement Priorities, and Statements (2023–2025)

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Regulation Best Interest (Reg BI) — Overview

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SAB 121 — Staff Accounting Bulletin: Accounting for Obligations to Safeguard Crypto-Assets

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SAB 122 — Rescission of SAB 121 (January 2025)

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SEC DAO Report — Report of Investigation Pursuant to Section 21(a)

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SEC Framework for "Investment Contract" Analysis of Digital Assets (April 2019)

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SEC Statement on Custody of Digital Asset Securities by Special Purpose Broker-Dealers (December 2020)

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SEC/CFTC Joint Interpretive Release on Digital Assets (March 2026)

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TurnKey Jet, Inc. — No-Action Letter (April 2019)

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FINRA Rules8 documents

FINRA Rule 2010 — Standards of Commercial Honor and Principles of Trade

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FINRA Rule 2111 — Suitability

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FINRA Rule 2210 — Communications with the Public

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FINRA Rule 3110 — Supervision

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FINRA Rule 4370 — Business Continuity Plans and Emergency Contact Information

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FINRA Rule 4511 — General Requirements for Books and Records

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FINRA Rule 5110 — Corporate Financing Rule: Underwriting Terms and Arrangements

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FINRA Rule 6490 — Processing of Company-Related Actions

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FINRA Guidance4 documents

FINRA Digital Asset Guidance and Notices 2020–2025

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FINRA Regulatory Notice 18-20 — Digital Assets (July 2018)

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FINRA Regulatory Notice 19-24 — Digital Assets (August 2019)

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FINRA Report on Distributed Ledger Technology: Implications of Blockchain for the Securities Industry (January 2017)

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Proposed Rule Changes1 document

NYSE Rule 7.50 — Proposed Rule Change SR-NYSE-2026-17: DTC Tokenization Pilot

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Other Regulatory (FinCEN, CFTC, BSA)4 documents

Bank Secrecy Act — AML Program Requirements for Broker-Dealers

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CFTC Jurisdictional Framework for Digital Assets — Commodity vs. Security Distinction

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FATF Travel Rule for VASPs — FinCEN Implementation and Crypto Broker-Dealer Application

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FinCEN AML Obligations for Digital Asset Securities and Money Services Businesses

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This reference library reflects TTP's curated regulatory corpus as of May 2026. Documents cover US federal securities law, FINRA rules, FinCEN/BSA, and CFTC digital asset frameworks. Always consult qualified securities counsel for legal advice.