Pending Snowstorm; No In-Person Activities Sat, Jan. 29. Law Library will be closed. More info


Securities Research

Introductions and Research Guides

  • Federal Regulatory Directory, 10th edition (Congressional Quarterly, 2001), pp. 274-300. (Ref KF5406 .A15F4)
  • A Guide to Securities Law Research, Jacob Burns Library, George Washington University Law School, 2000.
  • Securities Lawyer's Deskbook, The Center for Corporate Law, University of Cincinnati College of Law
  • "Securities Regulation," by K. Todd in Specialized Legal Research, L. Chanin, ed. (Little, Brown) pp. 1.1-1.29. (Ref KF240 .S69)
  • The US Securities and Exchange Commission: A Research and Information Guide, by J. W. Graham (Garland, 1993) (NYUL KX62 .G72U2)
  • United States Securities and Exchange Commission


Statutory Authority (selected)

  • Securities Act of 1933 (48 Stat. 74, 15 U.S.C. 77a-77mm)
  • Securities Exchange Act of 1934 (48 Stat. 881, 15 U.S.C. 78a-78kk)
  • Investment Advisors Act of 1940 (54 Stat. 847, 15 U.S.C. 80b-1 - 80b-2)
  • Investment Company Act of 1940 (54 Stat. 789, 15 U.S.C. 80a-1 - 80a64)
  • Insider Trading Sanctions Act of 1984 (98 Stat. 1264, 15 U.S.C. 78a note)
  • Private Securities Litigation Reform Act of 1995 (109 Stat. 737, 15 U.S.C. 78a note)
  • Securities Enforcement Remedies & Penny Stock Act of 1990 (104 Stat. 931, 15 U.S.C. 78a)
  • Sarbanes-Oxley Act of 2002 (116 Stat. 745)


Legislative History Sources

  • Congressional Universe (Congressional Information Services) - reports & hearings
  • Federal Securities Laws: Legislative History, 1933 - 1982 (BNA, 1983) (NYUL KX61 F335)
  • Legislative History of the Securities Act of 1933 and Securities Exchange Act of 1934 by J. Ellenberger and E. Mahar (Rothman, 1973) (microform)
  • LEXIS -- FEDSEC library, LEGIS file
  • United States Code Congressional and Administrative News - reports only


Government Publications: Primary Sources

  • Decisions and Reports, Securities and Exchange Commission, 1934 - (KF1444 .A553x)
  • SEC Annual Report to Congress, 1935- (KF1444. A15 U5x); SEC website, 1999-
  • SEC Litigation webpage includes SEC enforcement actions, opinions issued by the Commission, selected briefs filed by SEC staff, trading suspensions, and notices concerning the creation of investors claims funds in specific cases, 1995-
  • Code of Federal Regulations, Title 17 (annual updates) (NYUL KA-A 41) (LEXIS : FEDSEC; CFR ; WESTLAW: FSEC-CFR)
  • Federal Register (updates CFR) (NYUL KA-A 4) (LEXIS: FEDSEC; FEDREG ; WESTLAW: FSEC-FR)
  • SEC Docket, 1973- (KF1436 .A2U52x) (LEXIS: FEDSEC: SECREL)
  • United States Code (Title 15) (KF62 2000)
  • United States Statutes at Large (uncodified, original language of enacted laws) (KF50 U5)


SEC Forms


EDGAR Filings

  • SEC's EDGAR homepage


SEC Rules

Uniform Laws


Looseleaf Publications

  • American Stock Exchange Guide (Reserve HG4575 .N52132)
  • Blue Sky Law Reporter (CCH) (Reserve KF1068.4 B4x)
  • Corporate Practice Series (BNA) (Reserve KF1414.A1 C67x)
  • Federal Securities Law Reporter (CCH) (Reserve KF1436.5 .F4)
  • NASD Manual (CCH) (Reserve HG4921 . N37x)
  • New York Stock Exchange Guide (CCH) (Reserve HG4572 .N417)
  • SEC Accounting and Reporting Manual (Reserve KF1446 .S427)
  • Securities Regulation & Law Report (BNA) (Reserve KF1439.A1 S38)



  • Disclosures and Remedies under the Securities Laws. Arnold S. Jacobs (Reserve KF9369 .J3 2001)
  • Fundamentals of Securities Regulation. Louis Loss & Joel Seligman (Reserve KF1439 .L68 2000)
  • Law of Securities Regulation. 3rd edition. Thomas Hazen. (Reserve KF1439 .H392x 1996) (hornbook)
  • Securities and Federal Corporate Law. Harold S. Bloomenthal & Samuel Wolff. (Reserve KF1439 .B542)
  • Treatise on the Law of Securities Regulation. 4th edition. Thomas Hazen. (Reserve KF1439 .H39 2002)


Internet Sources



  • Business A.R.T.S. (Westlaw : BUS-ARTS, 1976-)
  • Economic Literature Index (Westlaw : ECONLIT)
  • Index to Legal Periodicals
  • Legal Resources Index



  • Federal Regulatory Directory (Reference KF5406. A15F4)
  • Federal Yellow Book (Reference JK6 .F45)
  • United States Government Manual (Reference JK421 .A3)


Prepared by Gretchen Feltes, Reference librarian, NYU School of Law Library