Information about the creation and organization of the Commission and summaries of key securities statutes are available at the SEC's website. The U.S.C.S. Duke Street investment Voyage Care is delighted to have been named as a finalist in not one, but two categories for the 2018 HealthInvestor awards. In the process of administering, interpreting, and enforcing the federal securities laws, the Commission issues several types of formal and informal administrative materials, including regulations, no-action letters, and decisions, among others. The following dictionaries and glossaries can help researchers better understand legal, accounting, business, finance, and investment terms. For each jurisdiction, this source provides an overview of the laws and regulations, brief articles about new laws and regulations, and contact information for state and territorial regulators. These references can easily be converted to current U.S. Code cites through the use of Popular Name Tables in the official and unofficial versions of the U.S. Code and through conversion tables available in many securities law treatises. Westlaw Journal Securities Litigation & Regulation (f.k.a. Several New Deal era securities acts passed in response to the 1929 stock market crash established the statutory framework of federal securities law, which (as amended) still operates today. This student-edited business law journal "examines current issues at the intersection of business and the law," and covers financial, securities, banking, bankruptcy, and tax law. SEC staff interpretations and bulletins are intended to provide guidance on accounting and legal matters. Internationally, cross-border regulation and anti-bribery statutes are addressed. Materials from Practising Law Institute continuing legal education sessions are reproduced in appendices. (Reserves KF1439 .C69 2017). Examples of the wide variety of available securities law treatises include: Alan R. Bromberg and Lewis D. Lowenfels, Bromberg & Lowenfels on Securities Fraud & Commodities Fraud, 2d ed. Administrative Law Judge & Commission Decisions. Particularly useful to researchers is its dictionary, which includes about 1,250 investing, business, and finance terms. Current versions of all of the key federal securities laws described in Part I.A. Other treatises focus on recent statutes, current developments, or narrower issues in securities law. Two treatises, both available on Lexis Advance, cover the 1933 and 1934 Acts in detail: Federal Securities Act of 1933, rev. Part 230, while Exchange Act regulations are found in 17 C.F.R. Additional factual information and data about the SEC can be found online. ed., and Federal Securities Exchange Act of 1934, rev. above.

This unique collection covers the legislative history of acts establishing many federal administrative agencies including the Securities and Exchange Commission, the Federal Trade Commission, the Interstate Commerce Commission, and the Federal Communications Commission, among others.

This website, associated with the business section of The New York Times, provides news and analysis in the areas of mergers and acquisitions, investment banking, private equity, hedge funds, I.P.O./offerings, venture capital, and legal/regulatory. Monitor and manage your online account, 24/7. (Reference HF1001 .F78 2012). The treatise describes the requirements of the 1934 Act, federal regulations, the rules of self-regulatory organizations (especially FINRA), and Blue Sky laws. This chapter, updated through 2015, offers an excellent explanation of some of the challenges inherent in securities law research and provides several helpful tables of rule and release designations and concordances of SEC rules, forms, and schedules. section numbering reflects the rule numbers (e.g., Exchange Act Rule 10b-5 is codified at 17 C.F.R. Releases document much of the SEC's regulatory and other activity. This Hornbook is an abridgement of Professor Hazen's comprehensive treatise on securities regulation (described below). “Preferred” listings, or those with featured website buttons, indicate YP advertisers who directly provide information about their businesses to help consumers make more informed buying decisions.

The SEC's current official forms, along with associated rules, regulations, and schedules, are readily accessible. It also addresses the requirements of ERISA and federal banking and commodities law, as well as state law. Looseleaf volumes provide comprehensive treatment of topics, while softbound handbooks focus on narrower issues. In addition, Boolean searching of header information is available for filings from 1994 to the present, and full text searching of filings and attachments is available for documents filed in the last for years.

eds., Securities Investigations: Internal, Civil and Criminal, 2d ed. ; and; the Investment Advisers Act of 1940, ch. Many free and fee-based sources are available for searching EDGAR filings. Securities law researchers may also find useful materials in the BNA Corporate Practice Portfolio Series, also available on Bloomberg Law.

Michael Singer, The Pocket MBA: Everything an Attorney Needs to Know about Finance (vols. Primary sources of federal securities law include statutes, regulations and other administrative materials coming from the U.S. Securities and Exchange Commission (the “SEC” or “Commission”), cases, and materials of self-regulatory and standards-setting organizations. These practice pages collect both primary and secondary sources. Written by and for practitioners, this collection of treatises in portfolio format covers narrow topics in seven categories: capital formation, corporate practice, derivatives and commodities, enforcement and litigation, investment management regulation, mergers and takeovers, and trading and markets regulation. In print, official and unofficial versions of the Code (U.S.C., U.S.C.A., and U.S.C.S.)

Today, the required forms and documents are usually filed through the SEC's Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system.

Examples include: Emerging Securities Litigation: Mealey’s (on Lexis Advance). As outlined in many treatises, these key federal securities laws include the following acts: More recently, federal securities law has been significantly affected by laws passed in response to the accounting and financial scandals of the early 2000s and the financial crisis of 2008, including: Bloomberg Law, LexisNexis, and Thomson Reuters Westlaw all offer comprehensive securities practice pages, which are convenient starting places for securities law research. Erik Banks, The Palgrave Macmillan Dictionary of Finance, Investment, and Banking (Reference HG151 .B2698 2010).

Selected pleadings are reproduced in the companion Emerging Securities Pleadings (also on Lexis Advance).

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