The Securities and Exchange Commission was created under the
authority of the Securities Exchange Act of 1934 (15 U.S.C. 78-78jj).
The purpose of the Commission is to provide disclosure to the public
and protect investors against malpractice in the securities market.
The Commission regulates securities brokers, dealers and transfer
1. Ellenberger, Jack. S. Legislative History of the Securities Act
of 1933 and Securities Exchange Act of 1934. Littleton, CO: Rothman,
1973. 11 volumes. (KF1066 .A58 1973)
2. Federal Securities Laws: Legislative History, 1933-1982.
Washington, D.C.: Bureau of National Affairs, 1983. 4 volumes.
3. Legislative History of Securities Acts Amendments of 1975.
Washington, D.C,: U.S. Government Printing Office, 1975. (KF1067.122
4. LEXIS (Library: FEDSEC, File: LEGIS) contains House, Senate and
Conference Committee Reports for the 1933 and 1934 Acts and includes
Administrative Decisions, Regulations and Releases
1. Decisions and Reports. Washington, D.C.: U.S. Government Printing
Office, 1934 -current. (KF1444 .A2)
This set contains the complete text of decisions and opinions of
the Securities and Exchange Commission. The Decisions are also found
on WESTLAW (Database Identifier: FSEC-DEC) with coverage from 1934 to
the present and on LEXIS (Library: FEDSEC, File: SECREL) with
coverage from 1934.
2. Code of Federal Regulations. Washington, D.C.: U.S. Government
Printing Office. (KF70 .A32)
Title 17 contains the regulations of the Securities and Exchange
Commission and the Commodity Futures Trading Commission. The
regulations can also be found on WESTLAW (Database Identifier FSEC-
CFR) and on LEXIS (Library: FEDSEC, File: CFR).
3. Federal Register. Washington, D.C.: U.S. Government Printing
Office, 1936-current. (KF70 .A2)
This set contains proposed rules and regulations of the SEC.
WESTLAW Database Identifier (FSEC-F) and LEXIS (Library: FEDSEC,
File: FEDREG) both include coverage from 1980 to the present.
4. SEC Docket. Washington, D.C.: U.S. Government Printing Office.
(KF1436 .A2 .S4 volumes 1 (1973) - 23; Micrographics volumes 24
This periodical contains releases for The Securities and Exchange
Act, Public Utility Holding Act, Trust Indenture Act, Investment
Company, Investment Advisers Act, Securities Investor Protection Act
and Litigation releases and rules. The SEC Docket is also available
on WESTLAW (Database Identifier: FSEC-DKT) and on LEXIS (Library:
FEDSEC, File SECREL). For releases before 1973, the best source is
WESTLAW (Database Identifier FSEC-IR and LEXIS (Library : FEDSEC,
5. SEC News Digest. Washington, D.C.: U.S. Government Printing
Office. (KF1444.A57 1972 - November 27, 1981 - present)
This digest contains SEC announcements, Securities Act
registrations, listing, delisting and unlisted trading actions, and
digests of SEC releases. WESTLAW (Database Identifier: FSEC-DIG)
provides coverage from July 1987 to the present. LEXIS (Library
FEDSEC, File: SECNEW) contains coverage from June 1985 to the
6. Official Summary of Security Transactions and Holdings.
Washington, D.C.: U.S. Government Printing Office. Volume 57(1987) -
current, (HG4556 .U5 .A33)
This monthly publication contains securities holdings figures
showing owners, relationships to issues, and amounts of securities
bought and sold by each owner.
7. Directory of Companies Required to File Annual Reports with the
Securities and Exchange Commission under the Securities Exchange Act
of 1934. Washington, D.C.: U.S. Government Printing Office. 1973 -
current (HG4556 .U5 .A39)
This annual publication lists companies that are required to file
annual reports. It is arranged alphabetically and by industry
8. Securities and Exchange Commission Annual Report. Washington, D.
C.: U.S. Government Printing Office. (KF1444 .A8 1960-1980 1981 -
The appendix summarizes actions taken by the SEC in the past year.
9. No-Action Letters
No-action letters express positions to companies and individuals
that have requested information on SEC policy. The best sources for
these letters are LEXIS (Library: FEDSEC, File: NOACT) with coverage
from 1971 and WESTLAW (Database Identifier: FSEC-NAL) with coverage
1. Shepard's United States Administrative Citations. Colorado
Springs, CO: Shepards, 3rd edition. (KF153.2 .S5)
Part 4 of this set provides citation coverage for Securities and
Exchange Commission Decisions and Reports by volume and page and by
release number. One section includes cross references for SEC
1. Federal Securities Law Reporter. Chicago, IL: Commerce Clearing
House. (KF1068.4 .C6)
This looseleaf set contains the full text of the Securities Act of
1933, Securities Act of 1934, the Public Holding Company Act, and the
Investment Company Act of 1940. The set also provides coverage of SEC
rules, regulations, and interpretive releases. Full text of court
decisions that interpret the federal securities laws or regulations
are published in this reporter.
2. SEC Accounting Rules. Chicago, IL: Commerce Clearing House.
(KF2920 .A6 .C6)
This one-volume looseleaf publication contains information on
financial reporting, accounting and auditing enforcement releases of
the SEC. This service reports new SEC accounting regulations and
changes in existing regulations in one section. Regulation S-K is
reproduced and amended to date.
3. SEC Compliance: Financial Reporting and Forms. Englewood Cliffs,
NJ: Prentice-Hall. (KF1446 .A6 .W4)
This set covers how to prepare Form 10-K, the basic annual report,
and other annual report forms. This publication explains what events
call for filing 8-K forms and how to fill out the form. Volume 2
contains SEC Accounting Rules and Securities Act registration rules
4. Prentice-Hall Securities Regulation. Englewood Cliffs, NJ:
Prentice-Hall. (KF1444 .A6 .P6)
This set provides material relating to Federal securities laws and
state blue sky laws. The looseleaf volumes contain court decisions,
opinions of the attorney general, and selected SEC opinions and no-
5. Securities Regulation and Law Report. Washington, D.C.: Bureau of
National Affairs. Looseleaf (KF1070 .A6 .S4)
These weekly reports summarize and sometimes reprint full or
partial texts of SEC decisions, rules, regulations, decisions from
state and federal courts, and selected legislation. This looseleaf is
also available on WESTLAW (Database Identifier: BNA-SRLR) from 1986;
and on LEXIS (Library FEDSEC, File: SECREG) from 1982.
1. Bloomenthal, Harold S. Securities and Federal Corporate Law. New
York, NY: Clark Boardman. (KF1436.5 B5)
This five-volume looseleaf is an excellent set for practitioners.
The set covers every step in the handling of securities transactions.
2. Bloomenthal, Harold S. Securities Law Handbook. New York, NY:
Clark Boardman. (KF1432 .B56)
This annual handbook provides a comprehensive and current overview
of securities law and practice.
3. Loss, Louis and Seligman, Joel. Securities Regulation. Boston,
MA: Little Brown. (KF1070 .L6 1989)
This seven-volume set with annual supplementation provides
explanations of the procedure of the SEC and offers detailed
treatment of express and implied liabilities under SEC statutes.
1. Annual Institute on Securities Regulation. New York, NY:
Practising Law Institute. (KF1070 .A2 .I5)
Each annual volume includes the expanded transcripts of the
presentations at the annual institutes.
2. Business Lawyer. Chicago, IL: ABA Section of Corporation, Banking
and Business Law. (K2 .U83)
This journal of business and financial law contains articles on
securities law. One issue each year contains an annual review of
significant legislative and regulatory developments and case law
3. Securities and Federal Corporate Law Report. New York, NY: Clark
Boardman. Monthly. (KF1432 .S42)
This report authored and edited by Harold S. Bloomenthal updates
his treatise, Securities and Federal Corporate Law.
4. Securities Regulation Law Journal. Boston, MA: Warren, Gorham &
Lamont. Quarterly. (K23 .E43)
This quarterly journal features articles by practitioners and
scholars. Regular columns alert the reader to changes in securities
laws, rules and regulations.
This section contains only a sample of the databases on securities
available on LEXIS and WESTLAW. Please consult the database lists for
related databases on this topic.
1. DISCLOSURE provides in-depth financial information on over 12,000
companies. Extracts of 10-K and 10-Q and 20-F financial reports, and
registration reports for new registrants are included. This database
is available on WESTLAW's DIALOG (Database Identifier: DISCLOSURE).
2. PTS Annual Reports Abstracts provides comprehensive coverage of
annual reports issued by publicly held U.S. corporations and selected
international companies. This database is a DIALOG database that is
available on WESTLAW (Database Identifier: PTS-AR).
3. LEXIS (Library: FEDSEC, File: 10-K) contains 10 K Yearly Reports
from July 1987 in full text.
4. LEXIS (Library: FEDSEC, File: 10-Q) provides 10-Q Quarterly
Reports from July 1987 in full text.
5. LEXIS (Library: FEDSEC, File: 20-F) contains SEC Form 20-F from
1989 in full text.
6. LEXIS (Library: FEDSEC, File: AR) contains Corporate Annual
Reports from files 88,87,86,85 and 84 files.
The NEXIS library on LEXIS and the DIALOG service on WESTLAW provide
excellent sources for recent newspaper articles on new developments
University of California / Hastings College of the Law Library
200 McAllister Street / San Francisco, California 94102
February 1992 / Compiled by Veronica Maclay
June 1994 / edited for GOPHER
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