Research guides

Securities Law

Federal Statutes

There are 6 principal federal statutes that regulate securities transactions:

  • Securities Act of 1933, ch. 38, 48 Stat. 74 (codified as amended at 15 U.S.C. §77a et seq.)
  • Securities Exchange Act of 1934, ch. 404, 48 Stat. 881 (codified as amended at 15 U.S.C. §78a et seq.)
  • Trust Indenture Act of 1939, ch. 411, 53 Stat. 1149 (codified as amended at 15 U.S.C. §77aaa et seq.)
  • Investment Company Act of 1940, ch. 686, 54 Stat. 789 (codified as amended at 15 U.S.C. §80a-1 et seq.)
  • Investment Advisers Act of 1940, ch. 686, 54 Stat. 789, 847 (codified as amended at 15 U.S.C. §80b-1 et seq.)
  • Securities Investor Protection Act of 1970, P.L. 91-598, 84 Stat. 1636 (codified as amended at 15 U.S.C. §78aaa et seq.)

Source of above: Kay Moller Todd, Specialized Legal Research §1.2 (Penny A. Hazleton ed., 2014).

For where to find federal acts and statutes, see the Federal Acts (Public Laws) and United States Code guides. Sources that focus on just securities statutes are listed below.

Jenkins' Print Collection

Federal Securities Law Reporter CCH

  • Location: KF1436.5 C735 (General Collection)
  • Note: Current statutes only

Lexis

USCS - Securities - Titles 7, 12, 15, 18 and 21

  • Location: Library Lexis computers
  • Source Trail: From the Legal tab, select Area of Law - By Topic > Securities > Find Statutes, Regulations & Administrative Materials > USCS - Securities - Titles 7, 12, 15, 18 and 31

Westlaw

Federal Securities Statutes & Court Rules

  • Location: Library Westlaw computers
  • Source Trail: From the All Content tab, select Statutes & Court Rules > Securities
  • Note: Federal securities statutes are listed by act. To search all of the federal securities statutes, select the "Specify content to search" radio button, then check the box for "Federal".