This guide is meant to help you find laws and information on securities regulation. It is not a comprehensive guide to all of the information you will need in your research, but it should get you started. Here you will find:
Laws and regulations governing banks and securities
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).
An official version of the SEC rules can be found in Title 17 of the Code of Federal Regulations: Commodity and Security Exchanges.
- 1933 Act rules are found in 17 C.F.R. § 230.___ under its rule number
- 1934 Act rules can be 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
Google and Google Scholar are great; however, there are also other databases, including:
Financial Crisis Inquiry Commission (FCIC)
Nearly 80% of the rulemaking provisions of Dodd-Frank assign responsibilities 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 Financial Stability Oversight Council (FSOC).
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.
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