Introduction

This electronic page will help you conduct research into Securities Law in the United States, federal and state.

·  Black’s Law Dictionary

Hardcopy of the tenth edition.

Located in several of our library’s shelving areas, including the Reference Room on the 3rd floor of the library. Call number is KF156.B53 2014.


Hardcopy of the 4th pocket edition has the call number KF156.B533 2011. Located in our Reference Room on the 3rd floor of the library.

·  BASIC FEDERAL SECURITIES STATUTES

·  Webpage (official) of U.S. Securities & Exchange Commission


WHAT ARE SECURITIES?

Black’s Law Dictionary says that securities are formal written documents that give “rights in money or property to their holder” and that these rights are  recognized and can be used “in regular channels of commerce”.  Warrants, evidences of debt, bonds, and shares, are examples of securities.


WHAT IS SECURITIES LAW?

In the United States, securities transactions are subject to regulation under both federal and state law. Securities Law consists of these regulations and the statutes that underly them, and the opinions of the courts and agencies that rule upon them.

To begin research into U.S. Securities Law you need to:

a) define all terms, by using a dictionary (see above and above left), and
b) gain an overview of the subject by consulting a nutshell (see below) and/or a treatise, or read a research guide on securities law produced by a law school library (see below left).

START HERE/ NUTSHELL/ Quick Overview

Book Cover Securities Regulaton in a Nutshell

Securities regulation : in a nutshell by Ratner, David L

Call Number: KF1440 .R37 2009

10th edition.

Located by call number on the 5th floor of the stacks

Located also in our Study Aids area of the 3rd floor Reference Room.

NUTSHELL

A Nutshell is a paperback law book that provides succinct overview and solid introduction to one area of the law. It is usually clearly written and includes accurate citations, but it is seldom cited as authoritative.

(Nutshells can  also be  useful as study aids).