Securities Law
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Reference Department
About Securities Law
"Security refers to a broad type of investments with risks that are regulated under securities law. Securities exist in numerous forms including: notes, stocks, treasury stocks, bonds, and certificates of interest or participation in profit sharing agreements."
Source: Wex (LII Legal Information Institute) 
"The federal securities laws consist of several separate acts originally passed between 1933 and 1940. These laws are amplified by rules of the Securities and Exchange Commission (SEC) and have been extensively interpreted by the courts as well as by the SEC itself. Congress designed the securities laws to eliminate abuses in the securities industry that it found had contributed to the stock market crash of 1929 and the economic depression that followed the crash. The federal securities laws protect investors and the general public through disclosure requirements and prohibitions against fraud and manipulative practices."
Source: Federal Securities Law Reporter (Wolters Kluwer) 
Study Aids
The GW Law Library provides access to the Aspen Learning Library, which includes the Examples & Explanations series and CrunchTime study guides; and the LexisNexis Digital Library, which includes the Understanding and Q&A series. When prompted to login, use your GW Law email address and password.
Print study aids may be borrowed from the Reserve Collection at the Law Library's Circulation/Reserve Desk for up to 2 hours. Older editions may be found in the Law Library stacks. For more study aids in the Law Library's collection, please consult our Study Aids guide.
Examples and Explanations for Securities Regulation, 8th ed. by Provides an overview of federal securities regulation and illustrates the topic with practical applications.
Principles of Securities Regulation, 5th ed. by Coverage includes the definition of "security," registration and disclosure obligations under the Securities Act of 1933, exemptions from registration, reporting obligations under the Securities Exchange Act of 1934, the proxy rules, tender offer regulation, and civil liabilities.
Securities Litigation and Enforcement in a Nutshell, 2d ed. by Examines private, SEC, and criminal enforcement of the federal securities laws, with an emphasis on the elements that establish securities fraud, and the doctrinal and practical issues that typically emerge in prosecuting or defending such claims.
Securities Regulation in a Nutshell, 12th ed. by Discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers.
Understanding Securities Law, 8th ed. by Provides comprehensive coverage of the federal securities laws, including legislative, judicial, and SEC pronouncements.
Casebooks
Securities Regulation, 9th ed. by Covers securities regulations, dealing with the current state of the law, as well as with expected modifications to securities regulation.
Hornbooks
The Law of Securities Regulation, 7th ed. by A one volume abridgement of the author's treatise on securities regulation.
Computer Assisted Legal Instruction (CALI)
CALI lessons are interactive tutorials written by law professors at CALI member schools. They can be used for studying specific topics.
Ask a Reference Librarian for the GW Law CALI code.
- Securities Lessons
