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Federal Securities Law   Tags: federal, securities  

Last Updated: Aug 19, 2013 URL: http://lawlib.buffalo.libguides.com/content.php?pid=117436 Print Guide RSS Updates

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BOOKS -- FEDERAL SECURITIES LAW

Research Guides

Chanin, Specialized Legal Research ("Securities") KF 240 S69 1987 

Legislative

STATUTES, United States Code US 003 U5 (Fed Core)

  • Securities Act of 1933. 48 Stat. 74 (1933) 15 USC 77a-77mm
  • Securities Exchange Act of 1934, 48 Stat. 881 (1934) 15 USC 78a-78kk
  • Public Utilities Holding Company Act of 1935, 49 Stat. 803 (1935) 15 USC 79-79z
  • Trust Indenture Act of 1939, 53 Stat. 1149 (1939) 15 USC 77aaa-77bbb
  • Investment Company Act of 1940, 54 Stat. 789 (1940) 15 USC 80a-1-80a-64
  • Investment Advisors Act of 1940, 54 Stat. 847 (1940) 15 USC 80b-1-80b-21
  • Securities Investor Protection Act of 1970, 84 Stat. 1636 (1970) 15 USC 78aaa-78lll
  • Sarbanes-Oxley Act of 2002, P.L. 106-425, 114 Stat. 1890 15 USC 7201 nt.
  • Generally, see 15 U.S.C. Sec. 77 to 80b-21

American Law Institute, Federal Securities Code KF 1439.F42 1980
Proposed revision and consolidation of federal securities law.

Securities Regulation, Selected Statutes, Rules & Forms (Hazen) KF 1433.99 S4

Legislative History

Federal Securities Laws: Legislative History, 1933-1982 KF 1433.8 1983

Federal Securities Exchange Act of 1934 KF 1068.4 G3; Lexis*

Securities Primary Law Sourcebook (1933 Act) KF 1068.4 S43; Lexis*

Schwartz, The Economic Regulation of Business and Industry: A Legislative History of U.S. Regulatory Agencies ("Securities Act of 1933") KF 5407 S34 1973

Lexis*: FEDSEC library, LEGIS file has full text of House, Senate Conference reports for the Securities Act of 1933, the Securities Exchange Act of 1934, and amendments.  CISLH file has abstracted Congressional Information Service prepared Legislative Histories of U.S. Public Laws covering securities law issues from 1970-1993

Westlaw*: FSEC-LH contains legislative history for public laws from 1933-1989, and from 1990+ includes history for bills passed and not passed.

Administrative

RULES AND REGULATIONS 

  • 17 C.F.R. Parts 200-301, US 005 A3 (Fed Core) 
  • Proposed rules and regs in Federal Register US 005 A2 (Fed Core)
  • See last page for "Concordance of SEC Rules" at Table 1-1 from Chanin, supra.

RELEASES 

  • Publications of S.E.C. rulings, rule proposals and adoptions, interpretations of statuary and regulatory requirements, and statements of policy.
  •  Releases for each act received distinctive designations (e.g., Securities Act of 1933 Release No. _____ or 33-_____.) See Chanin, supra, for table of Release Designations.
  • S.E.C. Docket KF 1436 A2 S4 (1973-1981, General Collection; 1981+, Koren AV) 
    The official weekly publication of full text releases

NO-ACTION LETTERS 

  • S.E.C. responses to private parties indicating that no action would be taken by the S.E.C. in a given fact situation. 

DECISIONS (Rulings of the S.E.C. in S.E.C. proceedings)

  • Decisions and Reports (S.E.C.) KF 1444 A554 (1934-1999, Annex; 2000+, General Collection); Index (1967-1989) KF 1444 A59 U55

S.E.C. RULES OF PRACTICE 

  • Hazen, Securities Regulation, Selected Statutes, Rules & Forms KF 1433.99 S4 

Judicial

S.E.C. Judicial Decisions (1934-1948) KF 1444 A517

Secondary Sources

CASEBOOKS 

  • Soderquist, Securities Law, Cases and Concepts Series KF 1440 S64 1998 (Study Aids)

FORMS

TREATISES & HORNBOOKS

  • Bloomenthal, Securities & Federal Corporate Law, 2nd ed. KF 1439 S43 1998  

  •  

    Bromberg, Bromberg and Lowenfels on Securities Fraud & Commodities Fraud, 2nd ed. ; Westlaw*

  •  

    Frankel, The Regulation of Money Managers: Mutual Funds and Advisers, 2nd ed. KF 1078 F7

  • Hazen, Treatise on the Law of Securities Regulation, 5th ed. KF 1439 H39 2005 

  • Los & Seligman, Fundamentals of Security Regulation, 4th ed. KF 1439 L68 2004 

  • Olson & Pitt, Securities in the Electronic Age KF 1439 S42 1998

  • Practitioner's Guide to the Sarbanes Oxley Act KF 1446 A314 P73 2004 

  •  

    Robbins, Securities Arbitration Procedure Manual, 5th ed. KF 1070 R63 2001Lexis*

  •  

    Securities Law Series KF 1439 S43Westlaw*

  • Sommer & Gadsby, Federal Securities Exchange Act 1934 KF 1068.4 G3Lexis*

  •  

    Sommer, Securities Primary Law Sourcebook KF 1068.4 S43Lexis*

NUTSHELLS & STUDY GUIDES

*Westlaw/Lexis access is restricted to law students only

 

Selected Periodicals - Securities Law

Business Lawyer K 2 U783; HeinOnline http://libweb.lib.buffalo.edu/pdp/index.asp?ID=204

Review of Securities & Commodities Regulation KF 1432 R48

Securities Regulation Law Journal K 23 E293

Bloomberg BNA, Securities Regulation and Law Reporter (online, 1996 - present)

Historical

CCH, Federal Securities Law Reporter KF 1436.5 F43; (CANCELLED: we have 1941-2006)


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