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Securities and Finance Law

Websites

General

  • Real Corporate Lawyer – News, analysis, tools, articles, websites, publications and other resources on corporate and securities law.
  • Securities Law Home Page – Comprehensive site for securities law information. Topics include corporate finance, mutual funds, brokers, investors, IPO and compliance. Also links to SEC rules and selected securities law cases.
  • Securities Lawyer’s Deskbook – Text of major federal securities laws and regulations. Also links to blogs and agency websites pertaining to securities law.

Sarbanes-Oxley

  • Sarbanes-Oxley – Comprehensive page of information about the Sarbanes-Oxley Act of 2002. Links to full text of the act, along with interpretive rules, best practices, analysis and more. The regulatory landscape link re-creates the shaky business climate that gave rise to the act.

Litigation

  • Securities Class-Action Clearinghouse – Index of more than 2,700 companies and individuals named in securities class-action lawsuits. Also contains nearly 27,000 complaints, briefs, filings, settlements, decisions and other documents filed in those cases.
  • IPO Securities Litigation – Text of complaints, briefs and other court documents in IPO-related litigation since 2000.
  • Securities Fraud & Investor Protection – Resource center for securities litigation. Discusses causes of action, the arbitration process, calculation of damages and more.

Corporate Finance

  • Wall Street Quest – Specialty directory and search engine focusing on high-quality business and finance websites.
  • Finance Resources – LSU
    web guide that links to information on bonds, commodities and futures, banking, mutual funds, currency exchange, a financial terms database and more.
  • Yahoo! Finance – Great source for current and historical stock quotes, finance news, corporate financial statements, industry analysis and more.
  • IPO Central
    Up-to-date information about IPO filings, prices and performance.

State Securities Laws

Blogs

  • Securities Litigation Watch – Blog maintained by Risk Metrics Group.
  • Securities Law Prof Blog – Member of the Law Professor Blogs Network.
  • 10Q Detective – The mission of this blog is to “dig through businesses’ 8-K and 10-Q SEC filings, looking for financial-statement ‘soft spots.’ “

Associations & Agencies

  • SEC – Regulates all U.S. publicly traded companies. Search company financial statements, SEC rules, SEC litigation documents and more.
  • CFTC – The Commodity Futures Trading Commission regulates the futures and options markets in the U.S.
  • Financial Industry Regulatory Authority – Largest non-governmental regulator for all securities firms doing business in the U.S. (formerly the National Association of Securities Dealers).
  • Securities Industry and Financial Markets Association – Source for securities industry statistics, legislative information, regulatory information, capital markets information and more.
  • North American Securities
    Administrators Association – Comprehensive resource for information on state and provincial securities regulation.
  • National Association of Bond Lawyers – Has an online library of case briefs, model documents, tax information, municipal bond materials and more.

Journals, News & Articles

  • Bowne Securities Connect – Corporate and securities news stories organized
    by topic (e.g., corporate law, bankruptcy, Sarbanes-Oxley). E-mail newsletters and RSS feeds are available.
  • Corporate/Securities
    Law News
    – Collection of news articles from the web. Also links to discussion forums and message boards.

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