Securities Resources

A comprehensive resource covering the federal laws and rules that regulate the issuance and trading of securities, corporate disclosure, insider reporting, broker-dealer requirements and duties, self-regulatory organizations, investment companies, investment advisers, and accountants and attorneys practicing before the Securities and Exchange Commission. It provides the full text of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940,the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002, the Dodd–Frank Wall Street Reform and Consumer Protection Act of 2010, and other federal securities laws, as well as the regulations and forms of the SEC along with explanations that discuss, summarize and coordinate law, rule interpretations and court decisions. It also includes the full text of court opinions, all SEC rulemaking releases and other selected SEC releases and no-action letters. The Reporter is organized by act, with SEC rules, CCH explanations, and other materials located among the act sections to which they relate.
Westlaw (ID and password required)

This comprehensive treatise on the Securities Act of 1933, covers the organization of the SEC, definition of "security" and "sale," exempted securities and transactions, small issue exemptions, restricted and control securities, registration process, registration forms, registration of investment company securities, the Trust Indenture Act of 1939 and civil liabilities, SEC and criminal enforcement.
Lexis (ID and password required)

This multi-volume work discusses the Sarbanes-Oxley Act, PCAOB, Corporate Governance, the public offering process, Rule 144A and private placements, registration and reporting under the Exchange Act, proxy regulation, tender offers, the Private Securities Litigation Reform Act, statute of limitations, small business disclosure, EDGAR, multi-jurisdictional disclosure, Blue Sky laws, and international capital markets.
Westlaw (ID and password required)

The companion book to the Federal Securities Act of 1933 by the same author, focuses on the Securities Exchange Act of 1934 registration and reporting requirements, Integrated Disclosure, proxy rules and proxy contests, insider trading and short-swing trading, registration and regulation of securities markets, broker-dealers, transfer agents, clearing agencies, SEC enforcement actions and private civil liabilities.
Lexis (ID and password required)

An annual title, find coverage of basic and specialized issues, including types of offerings, registration, reporting, potential violations, and enforcement. Additional topics include: the plain-English prospectus, underwriting and selling groups, small company offerings, and exempt offerings, the Trust Indenture Act, Rule 144A and the PORTAL Market, shareholder proposals, Blue Sky compliance, securities law violations, EDGAR, the integrated disclosure system, private express remedies, SEC enforcement, practice before the Securities and Exchange Commission, and professional responsibility.
Westlaw (ID and password required)

More than 50 experts provide treatment of securities registration and requirements exemptions, public reporting and recordkeeping requirements, common transactions (including the specific tasks of counsel, underwriters, accountants and company officers and directors), corporate charges and business combinations, as well as guidance for representing a client in securities litigation.
Lexis (ID and password required)

This 5-volume set provides primary source material and is a companion to the treatises, Federal Securities Exchange Act of 1934 and Federal Securities Act of 1933. It includes: Securities Act of 1933, Securities Act of 1934, Securities Investor Protection Act of 1970 (SIPA), and Trust Indenture Act of 1939 (TIA); Rules and Forms under the above Acts; Legislative History of the 1933 and 1934 Acts; Regulations S-B, S-K, S-T, and S-X; NASD Conduct Rules and selected FINRA Procedural Rules; SEC Rules of Practice and Procedural Rules; selected SEC Interpretative and Rulemaking Releases; summaries of outstanding SEC Rulemaking Proposals; and a list of recently adopted amendments to the SEC's Rules.
Lexis (ID and password required)

The book is directed towards an attorney, the accountant, or the securities broker who is acting as an underwriter for an offering, or raising private or public funds for a company. It has an overview of the securities industry, describes the importance of the Letter of Intent, the role of the underwriter, including matters concerning underwriting arrangements considerations and Chinese Walls, implementation of the safe harbor provisions of Regulation D and public resales under Rule 144 after a private offering. It includes forms and checklists.
Westlaw (ID and passsword required)