Securities Law Research Guide: THE SEC, CFTC, and REGULATIONS

The Securities and Exchange Commission (SEC) has five presidentially-appointed Commissioners with staggered five-year terms. One Commissioner is designated as Chairman, the agency's chief executive.  By law, no more than three of the Commissioners may belong to the same political party. 

Divisions:
Division of Corporation Finance
Division of Trading and Markets
Division of Investment Management
Division of Enforcement
Division of Risk, Strategy, and Financial Innovation

Offices:
Office of Acquisitions
Office of Administrative Law Judges
Office of Administrative Services
Office of the Chief Accountant
Office of Compliance Inspections and Examinations
Office of Equal Employment Opportunity
Office of the Ethics Counsel
Office of Financial Management
Office of the General Counsel
Office of Human Resources
Office of Information Technology
Office of Inspector General
Office of Interactive Disclosure
Office of International Affairs
Office of Investor Education and Advocacy
Office of Legislative and Intergovernmental Affairs
Office of Public Affairs
Office of the Secretary.

Title 17, Commodities and Securities Exchanges

Chapter I - Commodities Futures Trading Commission (CFTC) - Parts 1 - 199

Chapter II - Rules and Regulations for the Securities and Exchange Commission (SEC)

• Parts 200 - 229 - Rules and Regulations for the Securities and Exchange Commission
• Parts 230 - 239 - Securities Act of 1933
• Parts 240 - 249B - Securities Act of 1934
• Parts 260 - 269 - Trust Indenture Act of 1939
• Parts 270 - 274 - Investment Company Act of 1940 (includes PDF versions of SEC forms)
• Parts 275 - 279  - Investment Advisers Act of 1940 (includes PDF versions of SEC forms)
• Parts 300 - 301- Securities Investor Protection Corporation.

The Commodity Futures Trading Commission (CFTC) fosters open, transparent, competitive, and financially sound markets. Its mission is to avoid systemic risk and to protect the market users and their funds, consumers, and the public from fraud, manipulation, and abusive practices related to derivatives and other products that are subject to the Commodity Exchange Act.

Divisions:
Division of Clearing and Intermediary Oversight
Division of Market Oversight
Division of Enforcement

Offices:
Office of External Affairs
Office of International Affairs
Office of the Inspector General
Office of the Secretariat
Office of the General Counsel
Office of the Chief Economist

Committees:
Agricultural Advisory Committee
Global Markets Advisory Committee
Technology Advisory Committee
Energy and Environmental Markets Advisory Committee.