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Capital Markets (Course Page)

Get Started

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

Google Scholar Search


Search Law Journal Library

Practice & Study Aids

Practice & Study

Practice Pages

You will need to register to get access to these resources.

Agencies & Advocates

Agencies & Advocacy Organizations









Subject Guide

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Lisa Lilliott Rydin
Harvard Law School Library
Langdell 390
1545 Massachusetts Ave.
Cambridge, MA 02138

Financial Data

Sources of Data

In addition to using the Bloomberg Law, Westlaw, and Lexis's Intelligize research platforms, there are a variety of other databases for corporate, and finance-related data. For more information, check out:

Also check out the information and links below.

The FactSet research platform contains a lot of data, including SharkWatch (described above). To access FactSet, you need an individual account. You can create an account by following instructions provided by the Harvard Business School's Baker LibraryNOTE: HLS affiliates should follow the instructions for web access (not the FactSet Workstation).

Dodd-Frank & FCIC

Dodd-Frank Research Tools

Financial Crisis Inquiry Commission


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  



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.

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