Insights: The Corporate & Securities Law Advisor (available in Business Source Complete, which can be found via the “More Research Databases” link on the library`s website). A monthly practice-oriented newsletter that discusses developments in state, federal and international corporate and securities law. Westlaw Journal Securities Litigation & Regulation (f.k.a. Andrews Securities Litigation and Regulation Reporter) (on Westlaw). A biweekly bulletin on key state and federal securities cases, including shareholder lawsuits, SEC enforcement actions, and criminal proceedings, and new laws and regulations. The selected files are reproduced at the end of each issue. More recently, federal securities law has been significantly influenced by laws passed in response to the accounting and financial scandals of the early 2000s and the 2008 financial crisis, including: Other documents focus on current laws, current developments, or narrower issues in securities law. Examples of the wide variety of securities law documents available include: Compiled legislative histories of key federal securities laws and significant changes are available in print and online at sources such as HeinOnline, ProQuest Legislative Insight and Westlaw. Examples: The SEC`s final and consolidated regulations are published annually under Title 17 of the Code of Federal Regulations. In Title 17, the regulations corresponding to the different securities laws appear in separate parts. For example, the provisions of the Securities Act are generally found in Part 230 of the 17th C.F.R., while the provisions of the Stock Exchange Act are found in Part 240 of the 17th R.F.C.
Within these parts, the C.F.R. Section numbering reflects rule numbers (for example, Rule 10b-5 of the Exchange Act is codified in 17 C.F.R. § 240.10b-5). Beyond the study guides, the following introductory documents provide a more detailed overview of securities law or explain the different types of primary sources of securities law, and are therefore good starting points for novice securities law researchers: Under federal securities laws and rules, issuers, broker-dealers and others are required to file detailed disclosure forms and other documents with the SEC. For a simple introduction to the contents of major repositories, see “Sec Filings: Forms You Need to Know.” The SEC`s current official forms, as well as associated rules, regulations, and schedules, are readily available. Bloomberg Law, LexisNexis and Thomson Reuters Westlaw all offer comprehensive securities practice sites that offer convenient starting points for securities law research. These practice pages bring together primary and secondary sources. Newsletters can help researchers keep abreast of current developments in securities law. Examples: Researchers will find that securities attorneys typically refer to the section numbers of major securities laws (i.e., session sections as amended) rather than the corresponding sections of the U.S. Code.
For example, they may refer to “Section 10(b) of the Exchange Act” instead of Section 15 U.S.C. § 78j(b). These references can be easily converted into citations of current U.S. codes by using popular name tables in official and unofficial versions of the U.S. Code and through conversion tables available in many securities law treaties. In addition, Bloomberg Law`s cross-reference tables in the Securities Practice Center allow users to retrieve current sections of the U.S. Code based on their key citations under the Securities Act, as well as related rules and interpretive disclosures. The purpose of this guide is to help researchers navigate this complex area of law by identifying print and online sources useful for securities law research available at the Goodson Law Library.
These documents include important primary sources, secondary sources, collections of documents on the history of legislation, and tools for finding securities applications. This guide focuses on federal securities law, but for information on some primary and secondary sources for research on state securities law (the “Blue Sky” Act), see Section VI. Jerry W. Markham and Rigers Gjyshi, eds., Research Handbook on Securities Regulation in the United States (KF1439. R47 2014 and online). As part of the Financial Law Research Manuals series, this work aims to provide “a general overview of federal securities laws” and “facilitate access to the scope of federal securities laws while providing the reader with the basic information necessary to understand their scope.” It includes, among other things, the operation and structure of the SEC, several of the major securities laws, and the international regulation of financial instruments. The state`s securities law is also known as the “Blue Sky” Law. Official versions of state securities laws and regulations can be found in state codes and administrative compilations. Commercial versions are also readily available. Jim Hamilton`s World of Securities Regulation.