Research guides

Securities Law

State Cases & Administrative Decisions

This tab contains resources for locating state court cases which involve securities transactions. If you are unable to access a specific case using these resources, try the broader state caselaw resources as mentioned in our Pennsylvania Cases - Appellate Level and Pennsylvania Cases - Trial Level guides. Also included below are resources for accessing administrative decisions of the Pennsylvania Securities Commission.

Jenkins' Print Collection

Blue Sky Law Reporter CCH

  • Location: KF1436.5 C734 (General Collection)
  • Note: For current cases, see the Case Table in vol. 4A to obtain the paragraph number of the case.
  • Note: For older cases back to 1971, see the Transfer Binder for appropriate year (Case Table is in the beginning of each transfer binder).

Lexis

Blue Sky - State Securities Administrative Decisions, No-Action Letters, Release

  • Location: Library Lexis computers
  • Source Trail: From the Legal tab, select Area of Law - By Topic > Securities > Find SEC & Other Administrative Materials > State > Agency Decisions > Blue Sky - State Securities Administrative Decisions, No-Action Letters, Release
  • Note: Contains state securities administrative decisions, no-action letters, orders and releases for all 50 states and the District of Columbia.
  • Note: Coverage varies by jurisdiction.
  • Tip: To limit search to a specific state, include AGENCY(state name) in the search string.

State Securities Cases

  • Location: Library Lexis computers
  • Source Trail: From the Legal tab, select Area of Law - By Topic > Securities > Find Cases & Court Rules > State Securities Cases
  • Note: Coverage varies by court.

PA Securities Cases

  • Location: Library Lexis computers
  • Source Trail: From the Legal tab, select States Legal - U.S. > Pennsylvania > Find Cases > By Area of Law > PA Securities Cases
  • Note: For securities cases in other states, follow the above Source Trail and substitute the postal abbreviation of the state for PA.
  • Note: Coverage varies by court.´╗┐

Westlaw

Securities Cases

  • Location: Library Westlaw computers
  • Source Trail: From the All Content tab, select Cases > Securities
  • Note: Cases from the U.S. Supreme Court, courts of appeals, district courts, bankruptcy courts, Court of Federal Claims, Tax Court, military courts, and related federal and territorial courts that relate to trading and distribution of investment securities and commodity futures. Coverage begins with 1789.
  • Note: Coverage varies by jurisdiction.
  • Tip: Jurisdiction can be selected before running the search by using the drop-down option next to the search box.

Pennsylvania Blue Sky Administrative Decisions

  • Location: Library Westlaw computers
  • Source Trail: From the All Content tab, select Administrative Decisions & Guidance > Pennsylvania > Blue Sky Administrative Decisions
  • Note: Contains orders, no-action, and interpretive letters issued by the Pennsylvania Securities Commission.
  • Note: 1984 - June 2013
  • Note: Due to the merger of the PA Department of Banking and the PA Securities Commission, for recent decisions, see Pennsylvania Department of Banking Opinion Letters.

Internet Resources

For Pennsylvania Securities Commission staff positions, summary of significant orders, and compilation of staff no-action letters:

Compendium, Third Edition Pennsylvania Department of Banking and Securities

  • Note: Coverage varies by document type.