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Securities Law Research: Quick Start


Securities: An Overview

Subject Guide

Steven Alexandre da Costa
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Find statutes related to Securities law Research: 

Public Laws: Visit the SEC "about laws" page for a good introduction:

U.S. Code: Visit the US Code online at:

Find Rules and Regulations:

With a CFR citation:

Without a CFR citation: Tip: We often refer to SEC rules and regulations by the number only, without reference to the entire CFR citation, however, you need the full CFR citation to find a specific rule. For example if you are looking for Rule 10b-5 of the Securities Exchange Act of 1934, the citation is 17 CFR 240.10b-5. An idiosyncrasy of the federal securities laws is that the term “regulation” often refers to a collection of rules for example, Regulation S-K and Regulation SHO

Find SEC Releases:

Federal Securities Reporter (Intelliconnect)

Find out about some specific topic or subject in Securities Law:

Various publications are used by practitioners to keep current, try one of these:

  1. Securities Law Reporter (CCH)
  2. Bloomberg PLI (Practicising Law Institute)

Find EDGAR documents:

Visit the SEC's EDGAR search page here: Edgar Search Tools

Find Company Filings:

The Pardee Management Library provides access to Business Research Guides, a  Company and Industry Guide and a Company Information page.