Securities

Research Tools

Search The Market Center

Associations

• International Organization of Securities Commissions Features IOSCO reports and resolutions.

Government Resources

• Securities and Exchange Commission News, forms, litigation, EDGAR, and regulatory actions.

Laws

• Administrative Law Judges Decisions
• Commodity and Securities Exchanges Regulations Code of Federal Regulations (CFR), Title 17.
• NASD Code of Arbitration Procedure From NASD Dispute Resolution.
• SEC Rules & Regulations From Bowne. SEC news, rules and regulations, and newsletters on corporations and securities, finance, internet, and insurance.
• Securities Exchange Laws U.S. Code, Title 15, Chapter 2B.
• Securities Lawyer's Deskbook From the Center for Corporate Law, University of Cincinnati College of Law. Includes texts to the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940.
• U.S. Securities and Exchange Commission Opinions
• U.S. Securities and Exchange Commission Regulatory Actions Includes proposed rules, final rules, concept releases, interpretive releases, policy statements and more.
• U.S. Securities and Exchange Commission Rules of Practice
• U.S. Securities and Exchange Commission Staff Interpretations Includes staff accounting bulletins, staff legal bulletins and telephone interpretations.
• U.S. Securities and Exchange Commission Trading Suspensions

Web Sites

• American Stock Exchange
• FindLaw FreeEDGAR Free real-time access to SEC filings.
• NASDAQ
• RealCorporateLawyer.com
Features regulatory news, seminars and more.
• Stanford Securities Class Action Clearinghouse From Stanford Law School. Featuring complaints, briefs, filings and other materials filed in federal class action securities fraud litigation cases.
• The Chicago Board of Trade
• The Chicago Stock Exchange

Westlaw Databases

• BNA Securities Law Daily (BNA-SLD)
• BNA Securities Regulation & Law Report (BNA-SRLR)
• Code of Federal Regulations (FSEC-CFR)
• Commodity Futures Trading Commission Decisions (FSEC-CFTC)
• Company Profiles (CO-PROFILE)
• Designing an Effective Securities Compliance Program (CORPC-SEC)
• Dow Jones Corporate Filings Alert (FEDFILE)
• EDGAR - SEC Filings (EDGAR)
• Federal Administrative Materials Combined (FSEC-ADMIN)
• Federal Cases (FSEC-CS)
• Federal Securities Materials Combined (FSEC-ALL)
• Federal Statutes & Regulations Combined (FSEC-CODREG)
• Going Public and the Public Corporation (SECPUBCORP)
• Gramm-Leach-Bliley Combined Materials (GLBA-ALL)
• International Capital Markets and Securities Regulation (SECINTCAP)
• Law Reviews, Texts & Bar Journals Combined (SEC-TP)
• Multistate Securities and Blue Sky Law - Administrative Decisions (MSEC-ADMIN)
• Multistate Securities and Blue Sky Laws - Cases (MSEC-CS)
• NASD Arbitration Awards (NASD-ARB)
• NASD Disciplinary Decisions (NASD-DISP)
• NASD Final, Temporary and Proposed Regulations Combined (NASD-REG)
• NASD Manual
• NASD Notices to Members (NASD-NOTICE)
• NASD Office of Hearing Officer (NASD-OHO)
• Publicly Traded Corporations: Governance & Regulation (PTC)
• SEC Electronic Filings (SECNOW)
• SEC No-Action Letters (FSEC-NAL)
• Securities and Blue Sky News (SECNEWS)
• Securities Releases (FSEC-RELS)
• Shareholder Derivative Litigation: Besieging the Board (SDLBTB)
• Stock Exchange Disciplinary Decisions (FSEC-DISP)
• Tax-Advantaged Securities (SECTAXADV)
• U.S. Code Annotated (FSEC-USCA)
• West Group Securities Law Series Online (SECSERIES)
• Westlaw Topical Highlights - Securities Regulation (WTH-SEC)