Capital Markets (Course Page)

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).

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)

• Code of Federal Regulations

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

• Rules & Regulations for the SEC and Major Securities Laws (Part of the SEC website.)

Government Entities

• U.S. Senate Committee:  Finance
• U.S. House Committee:  Financial Services
• European Union:  Capital Markets Union

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

• Commodity Futures Trading Commission (CFTC)

• Financial Stability Oversight Council (FSOC)
• Consumer Financial Protection Bureau (CFPB)
• Federal Housing Finance Agency
• Center for Responsible Lending
• Federal Housing Administration

DEPOSITORY INSTITUTIONS

• Comptroller of the Currency
• Federal Deposit Insurance Corporation (FDIC)
• Federal Reserve System
• National Credit Union Administration
• American Council of State Savings Supervisor
• Conference of State Bank Supervisors
• Federal Financial Institutions Examination Council
• National Association of State Credit Union Supervisors
• American Bankers Association

• National Association of Insurance Commissioners

• National Conference of Insurance Guaranty Funds
• National Organization of Life & Health Insurance Guaranty Associations
• State Insurance Department Web-sites (from the National Association of Insurance Commissioners website)

INTERNATIONAL ORGANIZATIONS

• Bank for International Settlements (BIS)

• Institute of International Bankers
• International Monetary Fund (IMF)
• International Organization of Securities Commissions (IOSCO)
• Institute of International Banking Law & Practice (IIBLP)
• Organisation for Economic Co-operation & Development (OECD iLibrary)

• IRS's Tax Information for Retirement Plans
• Department of Labor's Employee Benefits Security Administration (EBSA)
• Pension Benefit Guaranty Corporation (PBGC)
• Employee Benefit Research Institute

• New York Stock Exchange (NYSE)
• Securities and Exchange Commission (SEC)
• Financial Industry Regulatory Authority (FINRA)
• Investment Company Institute
• North American Securities Administrators Association
• Securities Investor Protection Corporation

• Internal Revenue Service (IRS)

In addition to using the Bloomberg Law, Westlaw, and Lexis's Securities Mosaic research platforms, there are many other databases for corporate, and finance-related data. For links and descriptions, please see:

• The Library's Research Guide on Statistical and Data-Related Resources and
• The Library's Business, Corporate, Finance, and Market Data webpage

Several of these databases are highlighted below.

Financial Crisis Inquiry Commission

• Hearings:  http://www.fcic.gov/hearings
• Report:     http://www.fcic.gov/report

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.

• CFTC: http://www.cftc.gov/LawRegulation/DoddFrankAct/index.htm
• SEC:  http://sec.gov/spotlight/dodd-frank.shtml
• FRB:  http://www.federalreserve.gov/newsevents/default.htm
• FSOC: http://www.treas.gov/FSOC/ 

Legislative History

• Congress.gov - Senate Bill S.451

• Taxation & Economic Reform in America Parts I & II

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

• http://www.llsdc.org/assets/DoddFrankdocs/crs-r41472.pdf

Practitioner Services  

• Knowledge Mosaic Dodd-Frank Rulemaking Tracker 

• BNA Banking Report

Books  

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

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.

• Viral V. Acharya et al., Regulating Wall Street: The Dodd-Frank Act and the New Architecture of Global Finance (2011)

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

Chat with us! Chat  with a librarian (HLS only)

Email: research@law.harvard.edu

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

 Meet with Us  Schedule an online consult with a Librarian

Hours  Library Hours

Classes View Training Calendar or Request an Insta-Class