Researching Securities Law
Last update 12/2011. Direct feedback on this page to firstname.lastname@example.org.
The statutes that regulate securities are included in the United States Code, United States Code Annotated, and United States Code Service. They are also printed in a number of the looseleafs listed below. The Securities Primary Law Sourcebook, listed alphabetically under Texts, provides legislative history for the statutes, as does the LexisNexis securities library and the Westlaw securities topical file.
The Securities and Exchange Commission makes rules and regulations to implement the statutes. Securities regulations are codified under Title 17 of the (current year in PRIMARY KF70.A3). A good set of finding lists for the regulations are in the Federal Securities Law Reporter, listed below. This looseleaf service is publishes current developments a month later. Several sources can be used to update the Reporter. The (current volumes in PRIMARY K70.A2) provides daily updates to the Code of Federal Regulations. Code of Federal Regulations Federal Register
All of the SEC's activities are documented by releases. When the SEC interprets, explains, or gives examples for a rule, it does so in releases. When the SEC acts as a court, it reports the cases by release. Release lists are published in the Federal Securities Law Reporter. Administrative decisions are also printed in the SEC's Decisions and Reports.
No-action letters are informal letters issued by the SEC which are routinely examined as a guide to SEC policy. Significant ones are published in the Federal Securities Law Reporter.
Reports that companies are required to file with the SEC are in the Disclosure databases in Westlaw and LexisNexis, and in the SEC's EDGAR database on the internet.
Finally, state laws regulating securities transactions are called "blue sky" laws. They are located in the state statutes and regulations, on the Plaza level of the library.
Periodicals & Newsletters
- Commodities Law Letter. New York: Commodities Law Press Associates, 1992- Per .C64675
- Fordham Journal of Corporate & Financial Law. New York: Fordham University School of Law, 2001- Per .F67288
- Futures and Derivatives Law Report. Little Falls, NJ: Glasser LegalWorks, 1996- Per .F88
- Insights: the Corporate & Securities Law Advisor. Clifton, NJ: Prentice Hall Law & Business, 1987- Per .I482
- The Review of Securities and Commodities Regulation. New York: Standard & Poor's, 1985- Per .R4912
- SEC Docket. Washington, DC: Securities and Exchange Commission, 1973- Microforms Mfiche SE1.29:
- SEC News Digest. Washington, DC: Securities and Exchange Commission, 1985- Microforms. Mfiche SE1.25/12: Also available on LexisNexis and Westlaw.
- Securities Class Action Reporter. Atlanta, GA: Strafford Publications, 2003-
- Securities Law Review. Albany, NY: Sage Hill Publishers, 1969- Per .S42
- Securities Regulation Law Journal. Boston, MA: Warren, Gorham & Lamont, 1973- Per .S424
- University of Miami Business Law Review. Coral Gables, FL: University of Miami School of Law, 1998- Per .B8812
- University of Pennsylvania Journal of International Economic Law. Philadelphia, PA: University of Pennsylvania, 1996- K10.O764x
Citators & Indexes
- Business Source Premier Enhanced
This enhanced interface of Business Source Premier provides access to specialized reports such as company profiles, industry profiles, country reports, market research reports. It also includes articles from 2,800 periodicals in business, economics, political science and public administration.
- Shepard's United States Administrative Citations. Colorado Springs, CO: Shepard's Citations. REF KF153.2.S5 NOTE: Library cancelled subscription in 2011.
Company Reports - SEC Filings
Texts, Treatises, Forms & CLE Materials