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Securities Law

Research on Securities Law primary and secondary sources

Case Law

Bloomberg Law--Securities

Lexis: Area of Law by Topic—Securities—Find Cases and Court Rules

Westlaw: Topical Practice Areas—Securities—Federal Cases 

Federal Securities Law Reporter/CCH, KF1436.5 .F4 5th floor or acess through IntelliConnect

Federal Legislation

Securities Act of 1933 -- 48 Stat. 74, 15 U.S.C. § 77a-77mm

Securities Exchange Act of 1934 – 48 Stat. 881, 15 U.S.C. § 78a-78kk

Public Utility Holding Company Act of 1935 (repealed)

Investment Advisors Act of 1940 – 54 Stat. 847 U.S.C. § 80b-1 – 80b-2

Investment Company Act of 1940 -- 54 Stat. 789, 15 U.S.C. § 80a-1 - 80a64

Insider Trading Sanctions Act of 1984 -- 98 Stat. 1264, 15 U.S.C. 78a note

Private Securities Litigation Reform Act of 1995 -- 109 Stat. 737, 15 U.S.C. § 78a note

Securities Enforcement Remedies & Penny Stock Act of 1990 -- 104 Stat. 931, 15 U.S.C. § 78a

Gramm-Leach-Bliley Act of 1999 (GLBA)—113 Stat. 1338 U.S.C. § 6801-6809

Sarbanes-Oxley Act of 2002 116 Stat. 745 15 U.S.C §7201 et seq.


Internet access to United States Code

Legislative History

To compile legislative history of Security legislation, library research guide “Federal Legislative History” could be used. Other sources might be helpful:

Legislative history of the Securities act of 1933 and Securities exchange act of 1934 Compiled by J. S. Ellenberger and Ellen P. Mahar, KF1066 .A58 1973. Also available in PDF through HeinOnline.

 Legislative History of the Gramm-Leach-Bliley Act Public Law No. 106-102, 113 Stat. 1338. KF975 .M37 2001 5th floor. Also available on HeinOnline

Proquest Congressional and

Federal Regulation

Official version of the SEC rules can be found in Vol. 17 of the Code of Federal Regulation.

Internet access to Code of Federal Regulations

Federal Register (KF70 A2 3rd Floor)

Internet access to Federal Register


State Legislation, Regulations and Uniform Laws


TITLE 36b – Connecticut Securities Law and Business Opportunity Investment Act.

General Statutes of Connecticut    KFC 3630 1958 .A22 2011 3rd floor

The library has all the 50 states’ statutes on the 1st and 2nd floors.

Internet access to the General Statutes of Connecticut

Internet access to all 50 states’ statutes


Regulations of Connecticut State, Title 36 and 36b

Connecticut Department of Banking         

Connecticut Securities Law Regulation      

The Uniform Securities Act promulgated by the National Conference of Commissioners on Uniform State Law sets up an example for state to enact similar state securities laws.

 Uniform Laws Annotated KF165 .A5 1968, 5th floor

William D. Hawkland, Uniform Commercial Code Series, KF 879.527 H38, 5th floor, and E-Access