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Capital Markets (Course Page)

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Getting Started

This guide is meant to help you find laws and information on capital markets. Using the navigation links in the left margin, you can learn how to find the following types of information:

  • Laws and regulations governing banks and securities (see "Primary Sources"), 
  • Informative and scholarly articles (see "Secondary Sources"), 
  • Practice and study aids, 
  • Agencies and advocate group websites (including the International Organization of Securities Commissions), 
  • Financial market data (see "Financial Data"), and 
  • Dodd-Frank research tools (including information on the Financial Crisis Inquiry Commission).

 

Primary Sources

Laws & Regs

US Statutes

  • Title 12 US Code -  Banks & Banking
  • Laws that Govern the Securities Industry (Part of the SEC website; provides information about – and links to – the full text of the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002, the Dodd-Frank Wall Street Reform & Consumer Protection Act, and the Jumpstart Our Business Startup Act.)

US Regulations (CFR)

Title 12:  Banks & Banking
Title 13:  Business & Credit Assistance
Title 16:  Commercial Practices
Title 17:  Commodity and Security Exchanges
Title 31:  Money and Finance: Treasury

Government Entities

Secondary Sources

Journals & Articles

Google Scholar

HeinOnline



Search Law Journal Library


Practice & Study Aids

Practice & Study

Agencies & Advocates

Agencies & Advocacy Organizations

COMMODITIES REGULATION

CONSUMER PROTECTION

DEPOSITORY INSTITUTIONS

INSURANCE

INTERNATIONAL ORGANIZATIONS

PENSIONS

SECURITIES

TAX

Subject Guide

Lisa Lilliott's picture
Lisa Lilliott
Contact:
Harvard Law School Library
Areeda 390
1545 Massachusetts Ave.
Cambridge, MA 02138
llilliott@law.harvard.edu

Financial 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 Lisa Lilliott for further assistance. (Access is limited to the Harvard Law School community.)

 

BloombergTerminal

Dodd-Frank & FCIC

Dodd-Frank Research Tools

Financial Crisis Inquiry Commission

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), currently under the Treasury Department.

Legislative History

CRS Report re: rulemaking (Nov. 3, 2010)

 

Practitioner Services  

 

Books  

Recommended for an overview of the law, with explanations on particular legislation and potential regulation.  This eBook provides easily searchable legislative history information, including committee reports.

Getting Help

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