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Securities Regulation Resource GuideThis selective guide highlights major print and electronic resources available to Cleveland-Marshall College of Law students researching issues in Securities Regulation. Please contact the research services staff during research services hours, or via email to research.services@law.csuohio.edu, for help in locating these or other resources to meet your needs.
Searching SCHOLAR and OhioLINK Journal Articles and Current Awareness Services Aggregate Databases and Other Web Resources
Securities Regulation concerns efforts to to protect investors from fraud, particularly by mandating that investors have efficient access to risk and benefit investment information. Thus, securities law regulates brokers and traders, as well as seeks to protect purchase, sale, and trade of securities. Topics include the creation of a security, security holder suffrage and other rights, securities distribution in capital formation, securities trading, and special liabilities associated with securities transactions. If you're a student who's writing a paper and trying to pick a topic in Securities Regulation, consider reviewing current issues and hot topics on news Web sites such as American Lawyer Media's American Lawyer, Law.Com, National Law Journal, and New York Law Journal, as well as Lawyers Weekly.
LexisNexis: Area of Law - By Topic: Securities: Cases & Court Rules: Federal and State Securities Cases. Includes US Supreme Court, US Courts of Appeals, Federal District Courts, and all 50 States. See also LexisNexis: Area of Law - By Topic: Securities: Multi-Source Groups: Federal and State. LexisNexis: States Legal - U.S.: Ohio: Cases: By Area of Law: OH Securities Cases. Selected cases decided by the Ohio Supreme Court since 1821, Ohio Court of Appeals since 1913, and various Ohio Miscellaneous Courts since 1923.
Westlaw: Topical Materials by Area of Practice: Securities: Federal Cases (FSEC-CS). Includes US Supreme Court, US Courts of Appeals, Federal District Courts, Bankruptcy Courts, Court of Federal Claims, Tax Court, military courts, and selected territorial courts. See also Westlaw: U.S. State Materials: Case Law: Multistate Cases Organized by Area of Practice: Securities & Blue Sky Law (MSEC-CS). Includes all 50 states and the District of Columbia. See also Securities Law section of Westlaw: KeySearch. Westlaw: U.S. State Materials: Ohio: Cases: Case Law Organized by Practice Area or Topic: Securities & Blue Sky Law (OHSEC-CS). Selected cases decided by Ohio courts since 1821.
US Code: 15 USC Chapter 2A. Securities and Trust Indentures (§§ 77a-77aa, 77bb-77mm, 77aaa-77bbb), Chapter 2B. Securities Exchanges (§§ 78a-78mm), Chapter 2B-1. Securities Investor Protections (§§ 78aaa-78lll), Chapter 2C. Public Utility Holding Companies (§§ 79-79z-6), Chapter 2D. Investment Companies and Advisors (§§ 80a-1 - 80b-21), Chapter 98. Public Company Accounting Reform and Corporate Responsibility (§§ 7201-7266). [Links via Cornell Law School's Legal Information Institute; "generated from the most recent version made available by the US House of Representatives."]
Ohio Code: Securities ORC §1707 et seq., Uniform Transfer-On-Death Security Registration Act ORC §1709 et seq.. [Links via Anderson's and State of Ohio.]
Code of Federal Regulations: Commodity and Securities Exchanges 17 CFR. [Link via GPO Access.]
Ohio Administrative Code: Department of Commerce - Division of Securities OAC 1301:6 et seq., Registration of Securities; Licensing OAC 1301:6-3 et seq. [Links via Anderson's and State of Ohio.]
The ABCs of Broker-Dealer Regulation, 2006 / Clifford E. Kirsch. Practising Law Institute, c2006. KF1071 .Z9 A23 2006 The ABCs of Investment Adviser Regulation / Clifford E. Kirsch. Practising Law Institute, c2006. KF1072 .K57 2006 The ABCs of Mutual Funds / Clifford E. Kirsch and Laurin Blumenthal Kleiman. Practising Law Institute, c2006. KF1078 .Z9 A23 2005 The ABCs of the UCC. Article 8, Investment Securities / Sandra M. Rocks and Carl S. Bjerre; Amelia H. Boss, ed. American Bar Association Section of Business, c2004. KF1439 .R63 2004 The Advantage of Competitive Federalism for Securities Regulation / Roberta Romano. AEI Press, c2002. KF1439 .R66 2002 Blue Sky Law / Joseph C. Long. West Group, c2001- . KF1070 .Z95 L66 Blue Sky Practice for Public and Private Limited Offerings. C. Boardman Co., c1984- . KF1070 .Z95 B56 Communications with the Market, Analysts & Investors / David B. Harms, Curtis L. Mo, and Mary Jo White. Practising Law Institute, c2004. KF1064 .D5 C65 2004 Corporate Finance and the Securities Laws / Charles J. Johnson, Jr. and Joseph McLaughlin. Aspen Publishers, c2006. KF1428 .J58 Corporate Governance and Accounting under the Sarbanes-Oxley Act of 2002: a Guide for Accountants, executives, Lawyers and Securities Analysts / David E. Hardestry. Warren, Gorham & Lamont, c2002. KF1446 .H27 2002 Counseling Clients in Turbulent Markets & Uncertain Times: Disclosure & Financing Issues / Gary G. Lynch, Linda C. Quinn, and John F. Seegal. Practising Law Institute, c2001. KF1449 .C68 2001 Counseling the Corporate Board & Audit Committee in an Era of Change. Practising Law Institute, c2002. KF1446 .Z9 C68 Counselor or Enforcer?: the Role of the Corporate Lawyer Post Sarbanes-Oxley / David B. Harms. Practising Law Institute, c2003. KF306 .Z9 C68 2003 Critical Decisions in the Boardroom: Advising Your Clients / David B. Harms, Curtis L. Mo, and Mary Jo White. Practising Law Institute, c2006. KF1424 .Z9 C75 2006 Federal Securities Law / Thomas Lee Hazen. Federal Judicial Center, 2003. KF1439 .H38 2003 & Electronic Gatekeepers under Scrutiny: What Attorneys, Accountants and Directors Need To Know Now / Dennis O. Garris, et al. Practising Law Institute, c2005. KF1422 .Z9 G33 2005 Hedge Funds: Hot Regulatory & Operational Issues / Nora Jordan. Practising Law Institute, c2003. KF1078 .Z9 H43 2003 Hot Securities Litigation Issues in a Down Economy 2002: the Impact of Sudden Financial Loss / Robert J. Giuffra, Jr., Lewis J. Liman, and Kenneth J. Philpot. Practising Law Institute, c2002. KF1440 .H67 2002 How To Prepare for and Successfully Try a Securities Class Action in the Post-Reform Era / Michael D. Torpey and Melvyn I. Weiss. Practising Law Institute, c2000. KF8896 .Z9 H6 2000 The Impact of Enron: Regulatory, Ethical and Practice Issues for Counsel to Issuers, Underwriters and Financial Intermediaries / David B. Harms and Edward J. Rosen. Practising Law Institute, c2002. KF1446 .Z9 I56 2002 Implementing the New NYSE/NASDAQ Listing Standards / David C. Karp. Practising Law Institute, c2004. HG4572 .K37 2004 The Internet Age: What Securities Lawyers Need To Know To Survive / Stephen J. Schulte, John W. White, and Linda C. Quinn. Practising Law Institute, c2000. KF1440 .I58 2000 Investment Company Determination under the 1940 Act: Exemptions and Exceptions / Robert H. Rosenblum. American Bar Association Section of Business Law, c2003. KF1078 .R67 2003 Manual of Corporate Forms for Securities Practice / Arnold S. Jacobs. West Group, c2002. KF1437 .J33 Opinion Letters in Securities Matters: Text, Clauses, Law / Arnold S. Jacobs. West Group, c2001- . KF1437 .J3 Private Equity & Venture Capital Investing; Legal, Financial & Strategic Techniques for Successful Investing / Kurt J. Berney, Mitchell S. Press, and DAvid H. Wasserman. Practising Law Institute, c2001. KF1380.5 .Z9 P75 2001 Regulation of U.S. Equity Markets Robert A. Schwartz, ed. Kluwer Academic Publishers, c2001. KF1070 .A2 R44 2001 Secondary Market Tax-Exempt Asset Securitization for Sponsors, Investors, Other Market Participants and Their Counsel / Darrell R. "Buzz" Larsen, et al. ABA Pub., c2005. KF1070 .S375 2005 Section 16 of the Securities Exchange Act. Thomson/West, c2006- . KF1073 .I5 J32 Securities Law Handbook / Harold S. Bloomenthal. C. Boardman, c1978- . KF1440 .B56 Securities Law Update 2004 / Larry D. Soderquist, Gary M. Grown, and Barbara Mendel Mayden. Practising Law Institute, c2004. KF1439 .S43 2004 Securities Litigation and Enforcement: Cases and Materials / Donna M. Nagy, Richard W. Painter, and Margaret V. Sachs. Thomson/West, c2003. KF1438 .N34 2003 Securities Regulation / Louis Loss, Joel Seligman, and Troy Paredes. Wolters Kluwer Law & Business, c2006. KF1070 .L62 Securities Regulation in Cyberspace / Howard M. Friedman. Bowne, c2001- . KF1070 .F75 2001 Soderquist on the Securities Laws / Gary M. Brown. Practising Law Institute, c2006. KF1439 .S635 Stock Option Pricing Practices: What You Need To Know / Stanley Keller. Practising Law Institute, c2006. KF1424 .Z9 S86 2006 Treatise on the Law of Securities Regulation / Thomas Lee Hazen. Thomson/West, c2005. KF1439 .H39 2005 Understanding the New 8-K Disclosure Requirements / Robert E. Buckholz, Jr. Practising Law Institute, c2004. KF1446 .A75 U64 2004 Understanding the New Securities Offering Reform Rules /John T. Bostelman and Stanley Keller. Practising Law Institute, c2005. KF1440 .U46 2005 Understanding the Sarbanes-Oxley Act of 2002: What Every Corporate & Securities Lawyer Needs To Know Now / Michael R. McAlevey. Practising Law Institute, c2002. KF1423 .A75 U54 2002 Understanding the Securities Laws / Larry D. Soderquist. Practising Law Institute, c2003. KF1439 .S63 2003 The Use of Trading Models To Estimate Aggregate Damages in Securities Fraud Litigation: an Update / Daniel R. Fischel, David J. Ross, and Michael A. Keable. National Legal Center for the Public Interest, c2006. KF211.5 .B75 vol. 10, no. 3 Whistleblowing: the Law of Retaliatory Discharge / Daniel P. Westman and Nancy M. Modesitt. Bureau of National Affairs, c2004. KF5338 .W47 2004 Writing the CD& A: Getting Past the Technicalities To the Focus of the SEC's New Regime / Marc Trevino. Practising Law Institute, c2006. KF1424 .Z9 W75 2006
Business and Securities Law 2003. OSBA CLE Institute, c2003. KFO214 .A1 B87 2003 Buying and Selling the Mom and Pop Business in Ohio / Steven B. Koblentz, Joseph G. Corsaro, and Edward G. Kramer. NBI, Inc., c2002. KFO234 .K53 2002 Ohio Business Law. OSBA CLE Institute, c2002. KFO205 .Z9 O36 2002 Ohio Business Law Institute. OSBA CLE Institute, c2001. KFO205 .Z9 O36 2001 Ohio Securities Law and Practice / Howard M. Friedman. LexisNexis, c2005. KFO179 .F75 2005
Corporate Finance In a Nutshell / Jeffrey J. Haas. Thomson/West, c2004. KF1428 .Z9 H33 2004 Fundamentals of Securities Regulation / Louis Loss and Joel Seligman. Aspen Law & Business, c2003. KF1439 .L6 2003 The Law of Securities Regulation / Thomas Lee Hazen. West Group, c2006. KF1439 .H39 2006b Securities Litigation and Enforcement: Cases and Materials / Donna M. Nagy, Richard W. Painter, and Margaret V. Sachs. Thomson/West, c2003. KF1438 .N34 2003 Securities Regulation / Larry D. Soderquist and Theresa A. Gabaldon. Foundation Press ; Thomson/West, c2003. KF1438 .S64 2003 Securities Regulation: Cases and Materials / James D. Cox, Robert W. Hillman, and Donald C. Langevoort. Aspen Law & Business, c2001. KF1438 .C69 2001 Securities Regulation: Examples and Explanations / Alan R. Palmiter. Aspen Law & Business, c2005. KF1440 .P25 2005 Securities Regulation in a Nutshell / Thomas Lee Hazen and David L. Ratner. Thomson/West, c2006. KF1440 .H39 2006 Understanding Securities Law / Marc I. Steinberg. Lexis Pub., c2001. KF1440 .S74 2001
Searching SCHOLAR and OhioLINK (SCHOLAR hands-on instruction) SCHOLAR is the electronic catalog for Cleveland State University's Law Library and University Library. CSU also participates in the state-wide consortia OhioLINK, which provides access to a state-wide central catalog and numerous research databases. For treatises and other materials, search the SCHOLAR and OhioLINK catalogs with the subject headings Securities. See also the Securities Related Subject Headings.
Journal Articles and Current Awareness Services See the Finding Articles in Law Reviews, Journals and Other Legal Periodicals guide for an explanation of the legal periodical indexes and databases available to Cleveland-Marshall College of Law students and the CSU community. That guide covers print and electronic indexes, as well as electronic full-text journals. In particular, note OhioLINK's Electronic Journal Center and its Business, Economics, and Management subject cluster. Selected specialty journals and current awareness materials concerning Securities Regulation in the Cleveland-Marshall College of Law Library collection include the following: Advanced Doing Deals. Practising Law Institute. KF1428 .Z9 A84 Advanced Securities Law Workshop. Practising Law Institute. KF1440 .A34 Annual Institute on Securities Regulation. Practising Law Institute. KF1440 .I53 Blue Sky Law Reporter: State Blue Sky Laws, Legal Investment Laws, Regulations, Forms Lists. Commerce Clearing House. KF1068.4 .B548 Conducting Due Diligence. Practising Law Institute. KF1428 .Z9 C66 Disclosures and Remedies under the Securities Laws / Arnold S. Jacobs. West Group. KF1439 .A1 S34 Federal Securities Laws: Selected Statutes, Rules and Forms. Foundation Press. KF1438 .J54 S4 Financial Products: Taxation, Regulation, and Design / Andrea S. Kramer. Aspen Publishers. KF6415 .K732 Going Public and the Public Corporation / Harold S. Bloomenthal and Samuel Wolff. Thomson/West. KF1070 .B547 International Securities Markets. Practising Law Institute. KF1070 .Z9 I58 Journal of Comparative Corporate Law and Securities Regulation. North-Holland Pub., Co. K10 .O83523 & Electronic Journal of Emerging Markets. St. John's University. Center for Global Education. H1 .J677 New Developments in Securitization. Practising Law Institute. KF1050 .Z9 N47 Nuts & Bolts of Financial Products: Understanding the Evolving World of Capital Market and Investment Management Products. Practising Law Institute. K1070 .A2 N8 Nuts & Bolts of Securities Law. Practising Law Institute. KF1440 .N87 Private Placements: Current Developments in Private Financings. Practising Law Institute. KF1440 .P78 Review of Securities & Commodities Regulation. Standard & Poor's Corp. KF1432 .R48 Sarbanes-Oxley Act in Perspective. Thomson/West. KF1423 .Z9 S25 SEC News Digest. U.S. Securities and Exchange Commission. Microform & Electronic The SEC Speaks In .... Practising Law Institute. KF1440 .S453 & Electronic Securities and Federal Corporate Law / Harold S. Bloomenthal and Samuel Wolff. West Group. KF1439 .B542 Securities Arbitration. Practising Law Institute. KF1440 .S33 Securities Filings. Practising Law Institute. KF1440 .S4533 Securities Law Review. Sage Hill Publishers. K23 .E34 Securities Litigation & Enforcement Institute. Practising Law Institute. KF1440 .S425 Securities Offerings. Practising Law Institute. KF1440 .S4565 Securities Regulation: Selected Statutes, Rules and Forms. West Publishing Co. KF1433.99 .S42 Securities Regulation & Law Report. Bureau of National Affairs. KF1439 .A1 S38 Securities Regulation Law Journal. Warren, Gorham & Lamont. K23 .E375 University of Pennsylvania Journal of International Business Law. University of Pennsylvania Law School. K10 .O8352 & Electronic What Lawyers Need to Know about the New UCC Article 9 -- Secured Transaction. Practising Law Institute, c2000- . KF1050 .Z95 W43 World Securities Law Report. BNA International Inc. K1114 .A13 W67
Aggregate Databases and Other Web Resources
Cornell Law School: Legal Information Institute: Law about: Securities Cornell Law School: Legal Information Institute: Law by source: State: Uniform law locators - Business and Financial Laws Locator FindLaw: Practice Areas: Securities Law LexisONE: Legal Web Site Directory: Practice Areas: Securities and Exchange Law LexisNexis: Area of Law - By Topic: Securities Includes federal and state cases; federal and state court rules; federal and state statutes and legislative materials; federal and state administrative materials and regulations; briefs, motions, pleadings and verdicts; filings; company and financial materials; corporate governance materials; law reviews and journals; treatises and analytical materials; legal news; legal reference materials; and securities news and information. Municipal Securities Rulemaking Board Established by the US Congress in 1975, the MSRB develops rules and standards for municipal securities dealers. The Nasdaq Stock Market's NASDAQ National Association of Securities Dealers Operates the New York Stock Exchange and NYSE Arca. Ohio Department of Commerce: Division of Securities OhioLINK Research Databases: Law and Legislation Includes Gongwer News Service (which covers all bills in the Ohio General Assembly as well as Ohio executive and judicial activities), LexisNexis Academic, Papers First, and Proceedings First. Mark J. Astarita's Securities Law Home Page or SECLaw.Com Includes a broad range of articles and information on arbitration, hedge funds, mutual funds, investors, brokers, finance, IPO, compliance, as well as provides numerous links to cases, courts, blogs, news, and other materials. Ohio State University: Virtual Finance Library Provides numerous links to banking, exchange, market, and investment materials and information. Securities Industry and Financial Markets Association Stanford Law School: Securities Class Action Clearinghouse Provides links to decisions, settlements, news, and general information. Includes an Index of Filings "of 2470 issuers ... named in federal class action securities fraud lawsuits since passage of the Private Securities Litigation Reform Act of 1995." United States Commodity Futures Trading Commission United States Federal Trade Commission Includes link to Formal Actions, such as Adjudicative Opinions, Advisory Opinions, and Decisions (1969- ). United States Securities and Exchange Commission Includes link to Opinions and Orders (1996- ), Administrative Proceedings (1995- ), and Litigation Releases (1995- ), as well as EDGAR, the Electronic Data Gathering, Analysis, and Retrieval system by which one may access forms required to be filed with the SEC. University of Cincinnati College of Law: Securities Lawyer's Deskbook Virtual Chase: Legal Research: Legal Resources: Legal Subjects: Securities Law Westlaw:
Topical Materials by Area of Practice: Securities
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