Research guides

Securities Law

SEC Releases

"All of the SEC's activities are documented by releases. When rules and regulations are issued or amended, the document carries a release number. When the SEC interprets a rule and provides explanations and examples of permitted behavior, it does so in a release. When the agency acts as a court to consider violations of its rules, or suspends trading in a company's stock, it reports its actions by release. These categories of releases, among others, are issued in sequentially numbered formats, using a distinguishing prefix for each type. Thus, a release under the 1933 Act is numbered 33-6461." Kay Moller Todd, Specialized Legal Research §1.4.3 (Penny A. Hazleton ed., 2014).

Examples of these releases are accounting and auditing enforcement releases, concept releases, interpretive releases, litigation releases, and policy statements. Also, as stated above, proposed and final SEC rules are also issued as releases.

Use the sources below to locate SEC releases.

Jenkins' Print Collection

Federal Securities Law Reporter CCH

  • Location: KF1436.5 C735 (General Collection)
  • Note: To locate SEC releases, use the Release Lists in vol. 7.
  • Note: To locate interpretative releases, use the Finding Lists in vol. 7.
  • Note: To locate accounting and auditing enforcement releases, use the tab of same name in vol. 7.
  • Note: For accounting and auditing enforcement releases back to 1982, see Transfer Binders.
  • Note: For accounting series releases from 1937 to 1982, see Transfer Binders.

SEC Docket U.S. Securities and Exchange Commission

  • Location: KF1444 .A55 (Microforms)
  • Note: February 13, 1973 - September 1990

Westlaw

SEC Releases

  • Location: Library Westlaw computers
  • Source Trail: From the All Content tab, select Administrative Decisions & Guidance > All Federal Administrative Decisions & Guidance > Securities & Exchange Commission > Releases
  • Note: 1933 - present

HeinOnline

SEC Docket

  • Location: HeinOnline, remote access available with Jenkins' member ID number (membership resource, available to most Jenkins members)
  • Source Trail: From the list of library collections, select U.S. Federal Agency Documents, Decisions, and Appeals > S > SEC Docket
  • Note: 1973 - 2013
  • Note: Indexing available for more current material.

LLMC Digital

SEC Docket

  • Location: LLMC Digital, remote access available with Jenkins' member ID number (membership resource, available to all Jenkins members)
  • Source Trail: From Browse Collections, select U.S. Federal Government > Executive > U.S. Executive (Agencies, alpha order) > SEC, The S.E.C. Docket
  • Note: Feb. 13, 1973 - November 10, 1981

Internet Resources

U.S. Securities and Exchange Commission

  • Note: Proposed rules, final rules, concept releases, interpretive releases, and policy statements are found under Regulatory Actions (access through the Regulation tab).
  • Note: Accounting and Auditing Enforcement Releases and Litigation Releases are found under Litigation (access through the Enforcement tab).
  • Note: Proposed rules, 1994 - present. Final rules, 1962 - present.
  • Note: Concept releases, 1994 - present. Interpretive releases, 1971 - present. Policy statements, 1989 - present.
  • Note: Accounting and Auditing Enforcement Releases, 1999 - present. Litigation Releases, 1995 - present.