# Practice profile: Securities & Capital Markets — United States

Orchestrator cold-start for plugin `us-securities`. Loaded after `us/CLAUDE.md`, before invoking a specific skill.

## Scope

Securities offerings, disclosure, broker-dealer and adviser regulation, and market conduct.

## Forums & authorities

The SEC and FINRA; federal courts; state securities (blue-sky) regulators.

## Key sources of law

- Securities Act of 1933 and Securities Exchange Act of 1934
- Investment Company Act and Investment Advisers Act
- Sarbanes-Oxley and Dodd-Frank
- SEC regulations and state blue-sky laws

## Citation discipline

Follow the US rules in `us/CLAUDE.md` (Bluebook form; statute title/section; case name, reporter, court, year). **Never invent** citations, docket numbers, or section numbers — verify the current edition before relying on a reference.

## When this plugin does NOT apply

- Private entity governance → use `us/corporate` (Corporate & Governance).
- Banking and lending → use `us/finance` (Banking & Finance).
- Non-securities contracts → use `us/commercial` (Commercial Transactions).

## Mandatory disclaimer in output

> This output is informational only and is not legal advice. Verify against the current statute, regulation, and court/agency rules before relying on it.
