Securities Regulation Resource Guide
Searching SCHOLAR and OhioLINK
Journal Articles and Current Awareness Services
Aggregate Databases and Other Web Resources
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.
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.
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: 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.
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 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.]
Regulations and Rules
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.]
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, 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
Study Aids
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 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
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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 New York Stock Exchange Group 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 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. |
Laura E. Ray, MA, MLS Educational Programming Librarian February 2007 |