Research Guides: Major Legal Treatises and Sources by Topic: Securities Law and Regulation

SECURITIES LAW AND REGULATION

Broker-Dealer Law and Regulation by James A. Fanto, Jill I. Gross & Norman S. Poser
Call Number: LAW STACKS 2nd floor KF 1071 .P675
Publication Date: Wolters Kluwer 5th ed. 2018-
Broker-Dealer Regulation by David A. Lipton
Call Number: ELECTRONIC RESOURCES KF 1071 .L57
Publication Date: Thomson Reuters, updated annually
Available on Westlaw.
Bromberg and Lowenfels on Securities Fraud by Alan R. Bromberg, Lewis D. Lowenfels & Michael J. Sullivan
Call Number: LAW STACKS 2nd floor KF 1070 .B762
Publication Date: Thomson Reuters, 2d ed. 2003-
Also available on Westlaw.
Corporate Finance and the Securities Laws by Charles J. Johnson Jr., Joseph McLaughlin & Eric S. Haueter
Call Number: ELECTRONIC RESOURCES KF1428 .J586i
Publication Date: Wolters Kluwer 6th ed. 2019-
Also available in print at LAW STACKS 2nd floor KF 1428 .J586.
Insider Trading: Regulation, Enforcement, and Prevention by Donald C. Langevoort
Call Number: LAW STACKS 2nd floor KF 1073 .I5 L363
Publication Date: Thomson Reuters, 1991-
Also available on Westlaw.
Insights: The Corporate & Securities Law Advisor
Call Number: ELECTRONIC RESOURCES
Publication Date: Wolters Kluwer, monthly, 1987
Legal newsletter. Also available in print at LAW PERIODICALS basement K 9 .N541.
Practical Guide to SEC Proxy and Compensation Rules by Amy L. Goodman, John F. Olson & Lisa A. Fontenot
Call Number: ELECTRONIC RESOURCES KF1451 .P656i
Publication Date: Wolters Kluwer, 6th ed. 2019-
Also available in print at LAW STACKS 2nd floor KF 1451 .P656.
Regulation of Corporate Disclosure by J. Robert Brown, Jr.
Call Number: ELECTRONIC RESOURCES KF 1449 .B764r
Publication Date: Wolters Kluwer, 4th ed. 2017-
Also available on Westlaw.
Regulation of Financial Planners by Thomas P. Lemke & Gerald T. Lins
Call Number: LAW STACKS 1st floor KF 2921 .Z95 M67
Publication Date: Thomson Reuters, updated twice a year
Also available on Westlaw.
Regulation of Investment Advisers by Thomas P. Lemke & Gerald T. Lins
Call Number: LAW STACKS 2nd floor KF 1072 .L46
Publication Date: Thomson Reuters, annual ed.
Also available on Westlaw.
Regulation of Investment Advisers Under the Investment Advisers Act by Margery K. Neale & Elliot J. Gluck
Call Number: ELECTRONIC RESOURCES KF1434 .S43i no. 321
Publication Date: Bloomberg Securities Practice Portfolio Series no. 321
Available on Bloomberg Law.
The Regulation of Money Managers by Tamar Frankel, Arthur B. Laby & Ann Taylor Schwing
Call Number: LAW STACKS 2nd floor KF 1078 .F73
Publication Date: Wolters Kluwer 3d ed. 2015-
Securities and Federal Corporate Law by Harold S. Bloomenthal & Samuel Wolff
Call Number: LAW STACKS 2nd floor KF 1439 .B54 1998
Publication Date: Thomson Reuters, 2d ed. 1998-
Also available on Westlaw.
Securities Regulation by Louis Loss, Joel Seligman & Troy Paredes
Call Number: ELECTRONIC RESOURCES KF1070 .L626i
Publication Date: Wolters Kluwer Law & Business, 5th & 6th eds. 2019-
Also available in print at LAW STACKS 2nd floor KF 1070 .L626.
Securities Regulation : Liabilities and Remedies by Marc I. Steinberg
Publication Date: Law Journal Press, 1984-
Available on Lexis+.
Securities Regulation in Cyberspace by Eric C. Chaffee & Howard M. Friedman
Call Number: ELECTRONIC RESOURCES KF1070 .F744i
Publication Date: Wolters Kluwer, 4th ed. 2017-
Treatise on the Law of Securities Regulation by Thomas Lee Hazen
Call Number: LAW RESERVE 2nd floor KF 1439 .H39 2016p
Publication Date: Thomson Reuters, 7th ed., updated bi-annually
Also available on Westlaw.