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George Mason University Antonin Scalia Law School

Corporate & Securities Law

A guide to the basics of U.S. corporate and securities law.

Access S.E.C.  regulations and agency decisions on Westlaw, Lexis, Bloomberg and other specialty platforms by pre-filtering contents to securities practice materials. Each source supports sophisticated searching which may not be available on the S.E.C.'s website. Access information for some non-subscription websites are listed below.

SEC Regulations

Agency Administrative Actions

 

Interpretative Releases: A chronological listing of Interpretative Releases from 1995-present (with a handful of earlier releases).

ALJ Decisions and Orders : Initial decisions and orders beginning in 1960.

Administrative Proceedings : From September 1995 to the present.

Commission Opinions and Adjudicatory Orders : Links to opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.

Enforcement Actions: Information on SEC enforcement actions, opinions issued by the Commission, briefs filed by SEC staff, trading suspensions, and notices concerning the creation of investors claims funds in specific cases.

Litigation Releases :Notices and orders concerning the institution and settlement of administrative proceedings. The list is arranged by notice or order date. Coverage beginning with 1995.

Staff Legal Bulletins : Staff Legal Bulletins summarize the Commission staff's views regarding various aspects of the federal securities laws and SEC regulations.

No-action Letters: No-action letters from the Divisions of Corporate Finance, Investment Management, Trading & Markets and the Office of the Chief Accountant.