Skip to main content
It looks like you're using Internet Explorer 11 or older. This website works best with modern browsers such as the latest versions of Chrome, Firefox, Safari, and Edge. If you continue with this browser, you may see unexpected results.

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

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

Financial Data

Sources of Data

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:

Several of these databases are highlighted 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 "Masters/undergraduate students" (for web access, not via the FactSet Workstation).

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

Contact Us!

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

 Email research@law.harvard.edu

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

Drop-In Reference Visit our online Office Hours

 Meet with Us  Schedule an online consult with a Librarian

Hours  Library Hours

Classes View Training Calendar or Request an Insta-Class

 Text Ask a Librarian, 617-702-2728