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. 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.)
See Kay Moller Todd, Specialized Legal Research §1.2 (Penny A. Hazleton ed., 2014) for more information.
The federal acts and statutes are available for free online, in print, on the library's Lexis, Westlaw, and Bloomberg Law computers, and on member databases like Fastcase. See the Federal Acts (Public Laws) and United States Code guides for more information on how to access these resources.
Some legal databases have the option to search/browse just securities statutes. See below for more information.
Securities Law Statutes and Legislation
Available on the library's Lexis computers.
From Explore Content, select Practice Area or Industry > Securities Law > All Securities Law Statutes and Legislation
Contains federal and state statutory codes, constitutions, court rules, pending and enacted legislative enactments, and legislative history information regarding securities law.
To limit to just federal materials, first run a search. On the search results page, filter the results to the "U.S. Federal" jurisdiction. The filters can be used to further limit by document category (Codes, Court Rules, Public Laws, etc.), specific source (USCS, Congressional Record, etc.), a more narrowed practice area, and more.
Securities Statutes & Court Rules
Available on the library's Westlaw computers.
From the Content types tab, select Statutes & Court Rules > Securities (located under the "Topical" heading)
Federal securities statutes are listed by act. To search all of the federal securities statutes, check the box next to "Federal". Also includes the SEC Rules of Practice.
Securities Laws & Regulations
Available on the library's Bloomberg Law computers.
From Browse All Content, select Practice Centers > Securities > Laws & Regulations
Can construct a search or browse by act.
Securities - Federal Acts & Statutes
Available on the library's Cheetah computer.
From All Content, select Securities - Federal & International > Acts & Statutes
Federal securities statutes are listed by act. To search all of the federal securities statutes, click the magnifying glass icon next to "Acts & Statutes".