Skip to main content

Securities Regulation (Course Page)

Getting Started

Getting Started

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:

 

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

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

CASE LAW

CONGRESSIONAL COMMITTEES

Secondary Sources

Articles

RESEARCHING ARTICLES

Google and Google Scholar are great; however, there are also other databases, including:

 

Google Scholar

HeinOnline



Search Law Journal Library


Practice Materials & Study Aids

Agencies & Advocates

Agencies & Advocacy Organizations

COMMODITIES REGULATION

CONSUMER PROTECTION

DEPOSITORY INSTITUTIONS

INSURANCE

INTERNATIONAL ORGANIZATIONS

PENSIONS

SECURITIES

TAX

Dodd-Frank Research

Dodd Frank Research

Financial Crisis Inquiry Commission (FCIC)

Agencies 

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).

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

Getting Help

Contact Us!

  Ask Us! Submit a question or search our knowledge base.

 Call Reference & Research Services, 617-495-4516

 Text Ask a Librarian, 617-702-2728

 Email research@law.harvard.edu

 Contact Historical & Special Collections at specialc@law.harvard.edu

 Meet Consult a Librarian

Visit Us Library and Reference Hours

Classes View Training Calendar or Request an Insta-Class