Primary Sources

Statutes

FEDERAL SECURITIES STATUTES

From the official electronic pages of the U.S. government. (PDF).

Starts with volume 1. (PDF).

1925-26 edition through 2006 edition. (PDF).

Contains codified federal securities statutes from the United States Code Annotated.

Contains federal securities statutes from the United States Code Service.

 

STATES’ SECURITIES STATUTES

Includes CCH BLUE SKY REPORTER (now known as BLUE SKY LAWS and REGULATIONS) which contains state securities statutes and regulations, as well as some state

cases on Securities Law.

Search from search box on homepage: blue> Statutes and Court Rules (from informal drop-down)> choose Blue Sky.

Cases

FEDERAL COURT CASES

Contains selected cases in federal securities law.

Call number: KF 1436.5.C6, 5th floor stacks.

Database contains Federal Securities Law Reporter (see above).

Look for Federal Securities Law Cases (FSEC-CS).

LEGAL>Area of Law-By Topic> Securities> Cases and Court Rules> Federal > Federal Securities Cases

Filings and complaints since 1995.

FEDERAL ADMINISTRATIVE DECISIONS

From Heinonline. (PDF) 1934-2005/6

From Heinonline. (PDF). Volumes 1-5. (1939-1948). “all published”.

SEC RELEASES and NO-ACTION LETTERS

Link to LLMC database (1973-).

Hardcopy at LSF (1973-1981).

Federal Securities Releases 1933- .

SEC NO-ACTION LETTERS 1970- .

SEC Releases 1933- .

SEC No-Action Letters 1970- .

STATE CASES

Contains selected state securities law cases from the CCH Blue Sky Reporter.

Contains multi-state securities cases and Blue Sky Law cases.

Also contains individual states’ securities cases and Blue Sky Law cases.

Legal> Area of Law-By Topic > Securities> Cases and Court Rules> State Securities Cases


Regulations

U.S. FEDERAL REGULATIONS/ Official online publications/PDF

This link takes you to the official online version of Federal Register, which is a daily chronological publication.

This online version is retrospective to 1994.

Securities regulations and proposed regulations appear here, officially, before they appear in commercial hard-copy and online sources.

Current to within 2-3 days, but no historic regulations are included.

It is not an official legal edition of the CFR, even though it appears as an official U.S. government webpage with a U.S. government url.

This link takes you to the official online CFR of the U.S. government.

Title 17 contains the subject arrangement (codification) of federal securities regulations.

Retrospective to 1996.

Do read the blue-linked “About the Code of Federal Regulations (annual edition)” for guidance as well as information.

Concerning S.E.C. Rule-making.

U.S. FEDERAL REGULATIONS/Non-Official Commercial Publications

Hard copy on the 5th floor: KF 1436. 5.C6

Database contains digitized Federal Securities Law Reporter (see above).

STATE REGULATIONS

You must register.

Once registered and online, then select the “Securities” tab.

Contains state regulations. Hit the blue REGULATIONS link on the main page.

The result is a page with a link to each state, as well as one link to federal regulations.