Research guides

Securities Law

Federal Rules & Regulations

There are various rules that have been promulgated under the authority of the federal securities statutes. They are published in the Code of Federal Regulations.

Examples of various rules:

  • 1933 Act, 17 C.F.R. Part 230
  • 1934 Act, 17 C.F.R. Part 240
  • Trust Indenture Act of 1939, 17 C.F.R. Part 260
  • Investment Company Act of 1940, 17 C.F.R. Part 270
  • Investment Advisers Act of 1940, 17 C.F.R. Part 275

Source of above: Kay Moller Todd, Specialized Legal Research Table 1-1 (Penny A. Hazleton ed. 2014).

Tip: To locate the C.F.R. cite for a SEC rule, see Appendix 1-1 of: Specialized Legal Research.

The regulations that have been promulgated under the authority of the federal securities statutes are published in Title 17 of the C.F.R. and also in Title 12 of the C.F.R. (those of the Federal Reserve Board, which also regulate the sale of securities). These regulations are usually individual rules that have been grouped together. Some examples:

  • Regulation G (FRB), 12 C.F.R. part 207
  • Regulation S-K, 17 C.F.R. part 229
  • Regulation S-X, 17 C.F.R. part 210
  • Regulation T (FRB), 12 C.F.R. part 220
  • Regulation U (FRB), 12 C.F.R. part 221
  • Regulation X (FRB), 12 C.F.R. part 224

Source of above: Kay Moller Todd, Specialized Legal Research §1.4 (Penny A. Hazleton ed. 2014).

To locate the federal securities rules and regulations use the Code of Federal Regulations. For where to find the C.F.R., see the Code of Federal Regulations guide. Select other sources are listed below.

Jenkins' Print Collection

Federal Securities Law Reporter CCH

  • Location: KF1436.5 C735 (General Collection)
  • Note: Current rules and regulations only.

Westlaw

Code of Federal Regulations - Title 17 - Commodity and Securities Exchanges

  • Location: Library Westlaw computers
  • Source Trail: From the All Content tab, select Regulations > Securities > CFR - Title 17 - Commodity & Securities Exchanges
  • Note: If unable to find a regulation, try searching the broader CFR database.