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Securities Law Research Guide: FEDERAL SECURITIES LAWS

Statutes, regulations, treatises, and other sources of securities law

FEDERAL SECURITIES STATUTES

SECURITIES ACT OF 1933 (48 Stat. 74, 15 U.S.C. §§ 77a et seq.)

The 1933 Act regulates initial public offerings of securities. Its objectivs are to require that investors receive financial and other significant information concerning securities offered for public sale; and to prohibit misrepresentations and other fraud in the sale of securities to the public.

SECURITIES EXCHANGE ACT OF 1934 (48 Stat. 881, 15 U.S.C. §§ 78a et seq.)

The 1934 Act created the Securities and Exchange Commission (SEC) and granted it power to register and regulate brokerage firms, transfer agents and clearing agencies, and to regulate the stock markets; The Act granted authority to the SEC to discipline regulated entities and associated persons and to require periodic specified reporting by publicly-traded companies.

The Laws That Govern the Securities Industry (SEC.gov)

OTHER FEDERAL STATUTES

LEGISLATIVE HISTORIES OF FEDERAL SECURITIES LAWS

Westlaw:

Westlaw:  search by U.S. Code citation; from "History" tab, choose "Legislative History Materials" - search "U.S. GAO Federal Legislative Histories" by the Statutes at Large citation, 48 Stat. 74 (1933 Act) and 48 Stat. 881 (1934 Act).

HeinOnline:

Libraries > Taxation & Economic Reform in America, Parts I & II > Legislative History of the Securities Act of 1933 and Securities Exchange Act of 1934.

Lexis Advance:

Citations to legislative documents in selected federal statutes are found in the US - CIS/index and CIS/Historical Index databases; full-texts of legislative documents are available on microfiche in the Law Library.

CURRENT LEGISLATIVE ACTION