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Securities Regulation & Litigation

Getting Started

Getting Started

This guide is meant to help you find laws and information on securities law issues; the goal is to provide useful, but not exhaustive, resources. Research requires analysis and synthesis of information, and no one resource will likely provide sufficient information or data on any given topic.

While conducting your research, you may want to explore: 

  • Laws and regulations governing securities law.

  • Agencies and advocate group websites.

  • Practice and study aids, i.e.,  securities law treatises, databases, and books.

  • News sources, including blogs.

  • Practical and scholarly articles.

  • Data on securities, shareholder agreements & more.

For many of these databases, you will need your Harvard University ID and PIN.  For others, you may need to register to gain access.  If you have any trouble accessing a database, please contact the library.

For more ideas:

  • Chat by entering your question in the CHAT box.

  • Ask a Librarian a question by email.

  • Visit the Langdell Reference Desk located on the fourth-floor of the Law Library. 

  • Call the Reference Desk at 617-495-4516.

  • Email Tim McAllister at tmcallister@law.harvard.edu with questions. 

Subject Guide

Tim McAllister
Contact:
Areeda 506
617-496-2123

Primary Sources

Laws & Regs

STATUTES

The official codified version of federal securities laws appears in the U.S. Code in Title 15, sections 77 through 80.  Note:  Most practitioners use the section numbers of the Acts instead of citations to the Code.

REGULATIONS (CFR)

The official version of the SEC rules can be found in Title 17 of the Code of Federal Regulations: Commodity and Secuirty Exchanges

  • 1933 Act rules are found in 17 C.F.R. § 230.___ under its rule number
  • 1934 Act rules are found in 17 C.F.R. § 240.___ under its rule number

Example: 1933 Act Rule 144 is 17 C.F.R. § 230.144, and 1934 Act Rule 10b–5 is 17 C.F.R. § 240.10b–5

CONGRESS & EU

CASE LAW

Tracking Regulations & Finding Corporate Filings

All links are to Knowledge Mosaic which requires your HUID & PIN.

 

Secondary Sources

Article Research

Google Scholar

Agencies & Organizations

Agencies & Advocacy Organizations

COMMODITIES REGULATION

 

CONSUMER PROTECTION

DEPOSITORY INSTITUTIONS

INSURANCE

INTERNATIONAL ORGANIZATIONS

PENSIONS

SECURITIES

TAX

Financial Reform

Dodd Frank Research

Financial Crisis Inquiry Commission (FCIC)

Agencies 

Nearly 80% of the rulemaking provisions of Dodd-Frank assign responsbilities to four agencies:  the Securities and Exchange Commission (SEC), the Board of Governors of the Federal Reserve System (FRB), the Commodity Futures Trading Commission (CFTC), and the Consumer Financial Protection Bureau (CFPB).  Dodd-Frank also created within the US Treasury, the Financail Stability Oversight Council (FSOC).

Government Reports

Practitioner Services  

Legislative History

Book

Dodd-Frank Wall Street Reform and Consumer Protection Act: Law, Explanation and Analysis (2010)

Recommended for an overview of the law, with explanations on particular legislation and potential regulation.

Journal

Practice Materials & Study Aids

Practice Aids

Securities Law Treatises

Using Lexis Advance for Securities Law research

Current Awareness

News

HLS Forum on Corporate Governance's latest blog posts

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Data

Securities & Commodities Data

Bloomberg Terminal

A Bloomberg Terminal, providing hard financial data, real time news, and current daily stock information, is located near the Reference Desk on the 4th Floor of Langdell Hall. Please email Tim McAllister for further assistance. (Access is limited to the Harvard Law School community.)

BloombergTerminal

Getting Help

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