This guide is meant to help you find laws and information on securities law issues; the goal is to provide useful, but not exhaustive, resources. Research requires analysis and synthesis of information, and no one resource will likely provide sufficient information or data on any given topic.
While conducting your research, you may want to explore:
Laws and regulations governing securities law.
Agencies and advocate group websites.
Practice and study aids, i.e., securities law treatises, databases, and books.
News sources, including blogs.
Practical and scholarly articles.
For many of these databases, you will need your Harvard University ID and PIN. For others, you may need to register to gain access. If you have any trouble accessing a database, please contact the library or see the "Getting Help" section at the end of this guide.
The official codified version of federal securities law appears in Title 15 of the U.S. Code, specifically in sections 77 through 80. (Note: Most practitioners use the section numbers of the Acts instead of citations to the Code.)
FEDERAL REGULATIONS (CFR)
The official version of the SEC rules can be found in Title 17 of the Code of Federal Regulations: Commodity and Security Exchanges
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
CONGRESS & EU
Financial Crisis Inquiry Commission (FCIC)
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).
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.
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