Cleveland-Marshall College of Law

Securities Regulation Resource Guide

 

Introduction

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.

This 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.

 

Cases

LexisNexis:  Area of Law - By Topic:  Securities:  Find Cases & Court Rules:  Federal and State Securities Cases.  Includes US Supreme Court, US Courts of Appeals, Federal District Courts, and all 50 States.
LexisNexis:  Area of Law - By Topic:  Securities:  Find Cases & Court Rules:  State Securities Cases:   OH Securities Cases and Administrative Decisions.  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.
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.
Westlaw:  KeySearch: Securities Law section.
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.

Securities Regulation and Law Reporter (BNA) - Full text database of decisions back to 1996.

 

Statutes and Codes

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 Revised Code:  Securities ORC §1707 et seq., Uniform Transfer-On-Death Security Registration Act ORC §1709 et seq.

 

Regulations, Rules, and SEC

Code of Federal Regulations:  Commodity and Securities Exchanges  17 CFR.  [Link via GPO Access.]

United States Securities and Exchange Commission   [About the SEC - What We Do, etc.]
The SEC site includes links to numerous Regulatory Actions, such as Proposed Rules (1994- ) and Interpretive Releases (interpretations of federal securities laws and SEC regulations; 1995- ); Staff Interpretations, such as Staff Legal Bulletins and (1997- ) and Compliance and Disclosure Interpretations; and Litigation activities, such as Commission Opinions and Adjudicatory Orders (1996- ) and Litigation Releases - Federal Court Actions (1995- ). The SEC site also provides access to the IDEA (Interactive Data Electronic Applications) database, by which one may access forms required to be filed with the SEC. IDEA supplements, and will eventually replace, the EDGAR (Electronic Data Gathering, Analysis, and Retrieval) system).

Ohio Administrative Code:  Department of Commerce - Division of Securities OAC 1301:6 et seq., Registration of Securities; Licensing OAC 1301:6-3 et seq.

 

Treatises and Practice Guides

Selected significant treatises and practice guides in the Cleveland-Marshall College of Law Library collection which provide a foundation in issues of Securities Regulation include the following:

The ABCs of Broker-Dealer Regulation.  Practising Law Institute, c2008.   KF1071 .Z9 A12 2008

The ABCs of Investment Adviser Regulation.  Practising Law Institute, c2008.   KF1072 .Z9 A23 2008

The ABCs of Mutual Funds.  Practising Law Institute, c2008.   KF1078 .Z9 A123 2008

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

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.   KF1440 .C649 2004

Corporate Finance and the Securities Laws / Charles J. Johnson, Jr. and Joseph McLaughlin.   Aspen Publishers, c2006.   KF1428 .J58

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

Gatekeepers under Scrutiny: What Attorneys, Accountants and Directors Need To Know Now / Dennis O. Garris, et al.  Practising Law Institute, c2005.   KF1414.3 G38 2005

Implementing the New NYSE/NASDAQ Listing Standards / David C. Karp.  Practising Law Institute, c2004.   KF1074 .N3 I48 2004

Opinion Letters in Securities Matters: Text, Clauses, Law / Arnold S. Jacobs.  West Group, c2001- .   KF1437 .J3

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.   KF1440 .S4555 2004

Securities Regulation / Louis Loss, Joel Seligman, and Troy Paredes.  Wolters Kluwer Law & Business, c2006.   KF1070 .L62

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 2009

Understanding the New 8-K Disclosure Requirements / Robert E. Buckholz, Jr.  Practising Law Institute, c2004.   KF1449 U525 2004

Understanding the New Securities Offering Reform Rules /John T. Bostelman and Stanley Keller.  Practising Law Institute, c2005.   KF1440 .U43 2005

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


Ohio Securities Law and Practice / Howard M. Friedman.  LexisNexis, c2005.   KFO179 .F75 2005

 

Study Aids

 

Searching SCHOLAR and OhioLINK  

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

Securities Regulation and Law Reporter (BNA) - Sign up for email current awareness newsletters, or search a database of newsletters and full text of cases since 2003.

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.   KF390 .B84 A38

Advanced Securities Law Workshop.  Practising Law Institute.   KF1440 .A27

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   Also available electronically via CCH Business and Finance  - Click on Securities tab.

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.   KF1434.599 S45

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.  Practising Law Institute.   KF1070 .Z9 N88

Nuts & Bolts of Securities Law.  Practising Law Institute.   KF1440 .Z9 N88

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 .S4558

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 Transactions.  Practising Law Institute, c2000- .   KF1046 .A3 W49

World Securities Law Report.  BNA International Inc.  K1114 .A13 W67.  Also available electronically (BNA International) - ask for a password at the Law Library Information Services desk.

 

Databases and Other Web Resources

 

CCH Business and Finance - Securities
Click on Securities tab. Includes primary and secondary sources such as stock exchange guides, Blue Sky Law Reporter, Federal Securities Law Reporter, SEC Accounting Rules, SEC No-Action letters, etc.

CCH Business and Finance - Exchanges and SROs

CCH Business and Finance - International Business

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

Financial Industry Regulatory Authority (FINRA)
"Created in July 2007 throught the consolidation of NASD [National Association of Securities Dealers] and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is the largest independent regulator for all securities firms doing business in the United States."

FindLaw:  Practice Areas:  Securities Law

Investment Company Institute

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

NYSE Euronext (NYX)
Operates the New York Stock Exchange and NYSE Arca. Recently acquired the American Stock Exchange, and is in the process of integrating amex.com content into its nyse.com site.

Ohio Department of Commerce:  Division of Securities

Ohio State University:   Virtual Finance Library
Provides numerous links to banking, exchange, market, and investment materials and information.

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.

Securities Industry and Financial Markets Association

Mark J. Astarita's Securities Law Home Page or SEC Law.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.

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- ).

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
Includes federal and state cases, federal and state statutes, federal legislative materials, federal and state administrative materials, motions, pleadings, filings, National Association of Securities Dealers and New York Stock Exchange materials, law reviews and journals, treatises, practice materials, daily reports and current developments, analysts' reports, commodities materials, and securities news.

LER, February 2009
links checked 8/6/2009 aeb


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