Vol. 6, No. 5, February 2004

Securities Law

[Updated 7/09/12]


U. S. Securities and Exchange Commission (SEC)

The SEC regulates the securities market by applying federal laws in the form of regulations, fighting securities fraud by enforcing these regulations, and providing educational materials to potential investors and the general public. This website makes information about all of these functions available online. Proposed and final rules are posted, as are press releases, public statements, testimony of officials, and nonbinding guidance from the staff. Downloadable forms are available, as is a free database of SEC filings (EDGAR). News on enforcement activities, including litigation and administration proceedings, is also available.

Wex: Securities

In addition to providing a useful overview of the origin and parameters of securities law, this page describes the current shape of federal and state laws governing securities. This description includes a very broad discussion of the Federal Securities Act of 1933, the Securities Exchange Act of 1934, and state Blue Sky Laws. Federal statutes concerning securities law are available through this page, as well as the Uniform Securities Act, some court decisions, and other internet resources.

Financial Industry Regulatory Authority (FINRA)

Federal law charges this private-sector organization with the registration, governance, and discipline of securities firms, brokerage firms, and other securities representatives. This website gives access to the organization’s complete rules and bylaws, educational material for investors, information about professional development for securities personnel, and an extensive dispute resolution programs. Periodic email updates are available in each of these areas. An extensive glossary of securities law terms is posted under the "Resources" link.

Stanford Law School Securities Class Action Clearinghouse

Detailed information regarding class action securities fraud litigation is available through this Clearinghouse. This information includes filings and other litigation documents, analytical articles, statistics, and news. Email updates identifying newly named defendants in class action securities fraud lawsuits are available via free registration. Stanford Law School is responsible for the content of this site, which is financially supported by an economic and financial consulting firm, Cornerstone Research.

The Securities Law Home Page

A self-described "online guide to securities law," this page posts summaries of and links to news articles in the field of securities law, as well as to commentary, statutes, rules, and regulatory agencies. A key feature of this site, provided by attorney Mark Astarita, is the discussion forum, an interactive message board where registrants may discuss topics in securities law. "Information Centers" in five broad areas, including Securities Law and Compliance, collate materials by topic, including introductory information about each area of law. This site is searchable and frequently updated.


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