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Securities Law: Getting Started

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Schoenecker Law Library
651-962-4900
1000 LaSalle Ave, Minneapolis, MN 55403
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Library Hours* 

M-Th: 7:45 a.m.–10:00 p.m.
Fri:  7:45 a.m.-5:00 p.m.
Sat: 10:00 a.m.-5:00 p.m.
Sun:  noon-10:00 p.m.
 

*Law students, faculty & staff have after hours access with a UST ID

Reference Hours

M-Th: 9 a.m.—8:00 p.m.
Fri:  9:00 a.m.-5:00 p.m.
Sat: 10 a.m.—5:00 p.m.

Introduction

The securities industry is governed by a number of statutes that have been passed through the years, often in response to a crisis or collapse in the financial system.  These statutes created regulatory agencies, notably the United States Securities and Exchange Commission, to implement and enforce the statutes.

 Purposes of the securities laws

  • Giving investors an accurate idea of what the security represents
  • Assuring that investors have a continuous flow of information about the entity whose securities are being traded
  • Preventing fraud by corporate management and securities traders
  •  Eliminating the unfair advantage held by insiders
  • Regulating people and firms selling securities so they do not overreach their non-professional customers

  The purpose of this guide is to lead the researcher to the relevant statutes and regulations as well as secondary sources providing commentary and explanation of the securities laws.

Subject Guide