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Legal Research

Getting Started

TIP: Search the catalogue by Title or by Contents Notes/Full text in case we only have a chapter about a topic in a book or conference proceeding. 

Conferences

SEC Speaks This is an annual conference which explains regulatory developments in the United States . 

U.S. Securities Law: What Canadian Practitioners Need to Know (Osgoode Professional Development) 2006, 2008

Journals/Commentary

Some of these journals are available both in print and electronically. Please contact the library if you would like to be added to the routing list.

Textbooks & Resources from the OSC Library

GENERAL

US Securities Master Class

United States Securities Law: A Practical Guide 3rd ed.

How the U.S. Securities Industry Works 2nd ed.

Securities Regulation 3rd ed.

Treatise on the Law of Securities Regulation 5th ed.

Securities Regulation in a Nutshell

Securities Law Handbook

U.S. Master Federal Securities Law Guide 2007 Ed.

Regulation of Securities: SEC Answer Book 3rd Ed.

Broker-Dealer Law and Regulation 4th Ed.

Overview of the SEC (Course Guide)

The Financial Reporting Handbook

Sarbanes-Oxley Manual: A Handbook for the Act and SEC Rules 2nd Ed.

Corporate Governance for Public Company Directors

Corporate Finance and the Securities Laws 4th Ed.

Securities Regulation in Cyberspace 3rd Ed.

Dodd-Frank Wall Street Reform and Consumer Protection Act. Law Explanation and Analysis

U.S. Securities Law for International Financial Transactions and Capital Markets 2nd ed.


ENFORCEMENT

SEC Enforcement Manual

SEC Enforcement Process: Practice & Procedure in Handling an SEC Investigation after Sarbanes–Oxley

Securities Investigations: Internal, Civil and Criminal 2nd ed.

White Collar Crime 2nd ed.

White Collar Crime in a Nutshell 4th ed.


MARKETS/EXCHANGES

Securities Offerings and Listings in the US: an overview for non-US Issuers

U.S. Regulation of the International Securities and Derivative Markets 9th ed.

Securities and Derivatives Reform in 2010: A Guide to Legislation.

Offerings of Asset-Backed Securities

American Stock Exchange Guide

New York Stock Exchange Guide

NASD Manual


HISTORICAL

Blue Sky Law

Transformation of Wall Street: A History of the Securities and Exchange Commission and Modern Corporate Finance 3rd ed.

"--good people, important problems and workable laws" : 50 years of the U.S. Securities and Exchange Commission

US Law

State Securities Regulators

"Blue sky laws" refers to the securities regulators in each U.S. State. 

Each state has it's own regulatory agency or commission.

US Court System Map

Case Law

On Lexis

Search for US case law when you have a citation

-         Under the Get a Document tab, enter in your citation  e.g. 468 F 3d 1329

o    F means Federal, F. Supp - Federal Supplement, A. means Atlantic, P. means Pacific, N.E. - North Eastern district of US, U.S. - US Supreme Court

Shepardizing

US cases - judicially consider/noting up a case, also provides secondary sources for commentary 

You can shepardize a case you are currently viewing in Lexis by clicking the Shepardize link at the top of the page. Alterantively, you can shepardize a case by clicking the Shepard's tab at the top of the Lexis homepage and then enter in your citation.

SEC materials on Lexis

  • Area of law by Topic

o    Securities

§  Find SEC & Other Administrative Materials

To find SEC cases

  • SEC Cases, No Action Letters, Releases, Decisions, CFTC Orders & CFR
    • Full text or Search by Name Segment
    • Names incl. company names, i.e. Name(Janus Capital)

To find SEC Decisions    

  • SEC Decisions, Orders & Releases
    • Search by Company Name Segment, i.e. Name(Madoff)

To find SEC Releases

  • Combined SEC No-Action Letters and Releases

o    Select a Segment - Release-No.  Type in  5101

To Find SEC Staff Comment Letters / No-Action Letters / Interpretative Letter 

  • Combined SEC No-Acts Letters and Releases
    • full-text search or by Company/Name (Nortel)

 Courtlink

Coutlink is a service provided by Lexis which allows you to obtain federal and state court records. It provides access to the calendar proceedings (docket) of a lawsuit, along with all of the documents filed during the course of a suit. Please contact the library if you want to use this service.

Delaware Courts

Because of the Delaware General Corporation Law, over 50% of U.S. publicly traded companies and 60% of the Fortune 500 companies are incorporated in Delaware; this means Delaware has a more well-developed body of case law than other states. Disputes over the internal affairs of Delaware corporations are usually filed in the Delaware Court of Chancery, which is a separate court of equity (as opposed to a court of law). Because it is a court of equity there are no juries, and its cases are heard by the judges, called chancellors.

Legislation

U.S. Code – 18 USC 1341 or 18 USC 1512(c)

’33 Act (Securities Act of 1933) or the ’34 Act (Securities Exchange Act of 1934)

SEC Rules

SEC Reg. S-K