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Researching Securities Law

Last update 12/2011. Direct feedback on this page to lawlib@umn.edu.


Introduction

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.


Looseleafs & Reporters

  • Blue Sky Law Reporter: State Blue Sky Laws, Legal Investment Laws, Regulations, Forms Lists. Chicago, IL: Commerce Clearing House, 1946- KF 1068.4 C65 Also available on Westlaw.

     

  • Business Organizations. New York, NY: M. Bender, 1963- KF1366.C3 Securities Regulations volumes 11A, Pt.1, 1A, Pt.2, 2A, 2B, 2C, 2D, 2E, 2F, 2G.

     

  • Corporate Practice Library. Washington, DC: Bureau of National Affairs, 1978- .

     

  • Securities and Exchange Commission. Decisions and Reports.  Washington, DC: U.S. G.P.O., 1938- KF1444 .A552

     

  • Federal Securities Law Reporter: Federal Regulation of Securities;Laws, Regulations, Forms, Rulings and Decisions. Currently Supplemented and Indexed. Chicago, IL: Commerce Clearing House, 1964- Law Looseleaf Services KF1436.5 .C65

     

  • M. Rachlef, Security and Commodity Dealers. Chicago, IL: Commerce Clearing House, 1987- Law Looseleaf Services (Tax) KF6320 .C22x v.B2

     

  • H. Schneider, Security and Commodity Investors. Chicago,IL: Commerce Clearing House 1990- Law Looseleaf Services (Tax) KF6320 .C22x v.K1

     

  • SEC Enforcement Reporter. Washington, DC: Washington Service Bureau, 1982- KF1444 .S42 1982.

     

  • Securities Regulation and Law Report (Bloomberg BNA)
    Online only, print looseleaf subscription canceled in 2013.

     


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

 

  • Advanced Securities Law Workshop. New York: Practising Law Institute, 1988-2001. KF1440.A27

     

  • Advanced Workshop on Problems in Securities Disclosures. New York: Practising Law Institute, 1991. KF1414.A1 C67x no. 737

     

  • H. Bloomenthal, Going Public Handbook: Evolving SEC Disclosure systems. New York: Clark Boardman, annual. KF1439.B53

     

  • H. Bloomenthal, Securities Law Handbook. New York: Clark Boardman, 1997- KF1439 .B533

     

  • Blue Sky Practice for Public and Private Limited Offerings. New York: Clark Boardman Co., 1984- KF1070.Z95 B56

     

  • A. Bromberg, Securities Fraud & Commodities Fraud. Colorado Springs, CO: Shepard's, 1979- KF1070.B76

     

  • Conducting Due Diligence, 1996. New York: Practising Law Institute, 1996-. KF1440 C653

     

  • Contests for Corporate Control. New York: Practising Law Institute, 1991-2001. KF1477 .Z9 C64

     

  • Coping with Broker-dealer Regulation and Enforcement. New York: Practising Law Institute, 2000. KF1414.A1 C67x no. B-1204.

     

  • Doing Deals. New York: Practising Law Institute, 1995-2001. KF1439.A2 D65x

     

  • Emerging Trends in Securities Law. New York: Clark, Boardman, 1989- KF1439.E45

     

  • Federal Securities Exchange Act of 1934. New York: M. Bender, 1996- KF1070.F43x

     

  • R. Ferrara, Ferrara on Insider Trading and the Wall. New York: Law Journal Seminars-Press, 1995- KF1073.I5 F43

     

  • S. Goldberg, Private Placements and Restricted Securities. New York: Clark Boardman, 1971- KF1439.G64

     

  • D. Goldwasser, Accountant's Liability. New York: Practising Law Institute, 1996- KF2920.3.G65x

     

  • T. Hazen, The Law of Securities Regulation. St. Paul, MN: Thomson/West, 2005. Reserve KF1439 .H39 2005

     

  • J. Hicks, Exempted Transactions Under the Securities Act of 1933. St.Paul, MN: West Group, 2001- KF1439.H522x

     

  • J. Hicks, Limited Offering Exemptions, Regulation D. New York: Clark Boardman, 1983- KF1659.A152 L56 Latest shelved in Reserve.

     

  • How to Prepare an Initial Public Offering. New York: Practising Law Institute, 1986- KF1440.H69

     

  • A. Jacobs, Opinion Letters in Securities Matters: Text, Clauses, Law. New York: Clark Boardman, 1979- KF1070.J32

     

  • C. Johnson, Corporate Finance and the Securities Laws. Englewood Cliffs, NJ: Aspen Law & Business, 1997. KF1428.J58 1997

     

  • L. Katz, Ill-gotten Gains: Evasion, Blackmail, Fraud, and Kindred Puzzles of the Law. Chicago, IL: University of Chicago Press, 1996. KF9350.K38 1996

     

  • Liability of Attorneys and Accountants for Securities Transactions. New York: Clark Boardman Callaghan, 1991- KF 313.A15 L53

     

  • Litigating Limited Partners' Securities Actions. New York: Practising Law Institute, 1990. KF8915 .A1 L57x no. 391

     

  • L. Loss, Fundamentals of Securities Regulation, 6th ed.  New York: Wolters Kluwer Law & Business, 2011. Reserve KF1439 .L68 2011.

     

  • R. Magnuson, Shareholder Litigation. Willmette, IL: Callaghan, 1981- KF8925.S7 M33

     

  • Master Index: Clark Boardman Callaghan's Securities Law Series. New York: Clark Boardman Callaghan, 1992- KF1431 .M37 1992

     

  • J. Matheson, Minnesota Corporation Law and Practice, Englewood Cliffs, NJ: Prentice Hall Law & Business, 1992- Reference and Reserve KFM5610.M38

     

  • Mechanics of Underwriting. New York: Practising Law Institute, 1971- KF1440.M4

     

  • W. Painter, The Federal Securities Code and Corporate Disclosure. Charlottesville, VA: Michie Company, 1979- KF1440.M4

     

  • The New Business of Banking: What Banks Can Do Now. New York: Practising Law Institute, 1996. KF975.N49

     

  • Nuts and Bolts of Financial Products: Understanding the Evolving World of Capital Market and Investment Products Management. New York: Practising Law Institute, 1997. KF1414.A1 C67 no. B-975

     

  • Nuts and Bolts of Securities Law, 1996. New York: Practising Law Institute, 1996. KF1440 N88x

     

  • Opinions in SEC Transactions. New York: Practising Law Institute, 1988- KF1440 .O65

     

  • Partnerships and Limited Liability Companies (LLCs): Uniform Acts, Taxation, Drafting, Securities, and Bankruptcy: Resource Materials. Philadelphia, PA: American Law Institute- American Bar Association, 1994- KF1375.Z9 P364

     

  • A. Pessin, Words of Wall Street: 2,000 Investment Terms Defined. Homewood, IL: Dow Jones- Irwin, 1983. Reference HG4513.P47x 1983

     

  • Preparation of Annual Disclosure Documents. New York: Practising Law Institute, 1983- KF1449.A75 P74

     

  • W. Prifti, Securities: Public and Private Offerings. Deerfield, IL: Clark Boardman Callaghan, 1995- KF1439.P732

     

  • Private Placements: Current Developments in Private Financings. New York: Practising Law Institute, 1985- KF1440.P75

     

  • Proxy Contests, Institutional Investor Initiatives, Management Responses 1990. New York: Practising Law Institute, 1990. KF1414.A1 C67x no. 696

     

  • D. Ratner, Securities Regulation in a Nutshell. St. Paul, MN: West Publishing, 1998. Reserve KF1440 .R37 1998

     

  • Resales of Restricted Securities. New York: Clark Boardman, 1989- Reserve KF1439.A1 R47

     

  • SEC Section 16 Rules. New York: Practising Law Institute, 1991. KF1414.A1 C67x no. 735

     

  • SEC Section 16 Rules: an Update. New York: Practising Law Institute, 1991. KF1414 .A1 C67x no. 758

     

  • The SEC Speaks In ... New York: Practising Law Institute, 1991- KF1440.S453

     

  • Securities Arbitration. New York: Practising Law Institute, 1988- KF1070.Z9 S42

     

  • Securities Filings...: Review and Update. New York: Practising Law Institute, 1980- KF1440.S4533

     

  • Securities Litigation: Prosecution and Defense Strategies. New York: Practising Law Institute, 1985- KF1070.Z9 S43

     

  • Securities Primary Law Sourcebook. New York: M. Bender, 1996- KF1070.F431x

     

  • Securitization of Financial Assets. New York: Aspen Law & Business, 1996- KF1030.S43 S43

     

  • H. Shereff, Introduction to the Taxation of Financial Instruments: Federal Income Taxation of Capital Transactions in Securities, Straddles, Options, and Futures. Philadelphia, PA: American Law Institute-American Bar Association, 1990. KF6415.S54x 1990

     

  • Sweeping Reform: Litigating and Bespeaking Caution Under the New Securities Law. New York: Practising Law Institute, 1996. KF1414 .A1 C67x

     

  • Tax Exempt Financing. New York: Practicing Law Institute, 1988- KF6383.Z9 T37

     

  • Uniform Laws Annotated: Federal Securities Act. Northport, NY: E. Thompson Co., 1922- Reference KF165.A5 1922

     

  • United States Securities and Exchange Commission-Forms on the Internet.Descriptions of SEC Forms  and SEC Forms List (PDF documents).

     

  • Venture Capital & Public Offering Negotiation. New York: Aspen Law & Business, 1996- KF1366.V463

     

  • W. Wang, Insider Trading. New York: Practising Law Institute, 2005. KF1073 .I5 W36