Federal Securities Law Reporter

Federal Securities Law Reporter by

Federal Securities Law Reporter

Publication Frequency
Product Line
Wolters Kluwer Legal & Regulatory U.S.
Available formats


A comprehensive resource covering the federal laws and rules that regulate the issuance and trading of securities, corporate disclosure, insider reporting, broker-dealer requirements and duties, self-regulatory organizations, investment companies, investment advisers, and accountants and attorneys practicing before the Securities and Exchange Commission. The Reporter provides the full text of the Securities Act of 1933, the Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002, the Dodd–Frank Wall Street Reform and Consumer Protection Act of 2010, and other federal securities laws, as well as the regulations and forms of the SEC. It includes explanations that discuss, summarize and coordinate law, rule interpretations and court decisions. It also includes the full text of court opinions deciding issues of federal securities law, all SEC rulemaking releases and other selected SEC releases and no-action letters. The Reporter is organized by act, with SEC rules, CCH explanations, and other materials located among the act sections to which they relate. (Report Letters--available via email delivery, Finding Devices)

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Volume 1

  • Topical Index
  • General Guide
  • Securities Act: Law Text; Compilations of law and related regulations, CCH explanations, annotations: Definitions, Exemption, Registration

Volume 2

  • Securities Act: Prospectuses, Liabilities, Schedule A, Regulations, Forms, How to Answer Form S-1
  • Exchange Act: Law Text, Compilations of law and related regulations, CCH explanations, annotations: Definitions; Exchanges, Margin-Borrowing Restrictions

Volume 3

  • Exchange Act: Manipulations; National Market System, Registration; Reports, Proxies

Volume 4

  • Exchange Act: Broker-Dealer Regulation, Securities Associations; Municipal Training; Government Securities; Insiders, Recordkeeping; Clearance and Transfer Reports; Records, Liabilities, Forms
  • Securities Investor Protection Act of 1970

Volume 5

  • Exchange Act: Regulations; Forms
  • Trust Indenture Act: Compilations: Law and related regulations, CCH explanations, annotations; Forms
  • Investment Company Act: Law Text; Compilations; Definitions

Volume 6

  • Investment Company Act: Exemptions; Registration; Affiliates; Functions; Directors; Capital; Proxies, Securities; Reports; Records; Liabilities; Forms
  • Investment Advisers Act: Compilations: Law and related regulations; CCH explanations; Annotations; Forms
  • Dodd–Frank Wall Street Reform and Consumer Protection Act
  • Staff Legal Bulletins
  • Related Securities Law and Regulations; Gramm-Leach-Bliley Act; Sarbanes-Oxley Act; American Recovery and Reinvestment Act of 2009
  • Rules of Practice and Conduct; Regulation S-T; Accounting Rules; Regulation S-X

Volume 7

  • Regulation S-K
  • Financial Reporting Releases; Codification
  • Accounting and Auditing Enforcement Releases
  • Staff Accounting Bulletins
  • Finding Lists*
  • Release Lists*
  • Main Case Table*

Volume 8

  • Cumulative Index*
  • New Developments: Case Table*; Topical Index*; No-Action and Interpretive Letters; SEC Releases; Other Materials, New Court Decisions

*Tables and lists available only in print.

Ensure you have the most accurate information with current CCH reporting — As a Federal Securities Law Reporter subscriber, you will receive a weekly Report Letter packed with the latest developments. The Report Letter provides the news of the week, in summary form, with full-text coverage in the Reporter. The Report Letter keeps customers up-to-date on new developments and other happenings including speeches and legislation. These can be delivered to you via e-mail.

See why the Federal Securities Law Reporter is the standard among securities professionals — Special features in the Federal Securities Law Reporter are designed to make your research easier and help you pinpoint the exact information you need quickly. They include:

  • Expert CCH explanations that discuss, summarize and coordinate law, rule interpretations and court decisions
  • Annotations of archived materials from 1941 forward that provide digests of court decisions and agency releases
  • Time-saving Finding Lists that help you locate what you need quickly. Use the Topical Index, Case Table* or Cumulative Index*, or search by subject or keyword, by regulation or case number or by case name in the electronic products.
  • Full-text reporting of court decisions and selected no-action letters
  • Contains the securities-related titles of the historic Dodd–Frank Wall Street Reform and Consumer Protection Act, as well as complete coverage of all the SEC rulemaking called for in the Act. These measures represent the most important securities legislation and regulation since the passage of the Securities Exchange Act of 1934. All rules, studies, federal court cases, and other emerging authority under the Act will be covered in the Federal Securities Law Reporter.
  • Two search tools are now available free as part of your subscription in Internet format — Topic Navigator and SmartRelate. Topic Navigator is a topically organized map of federal securities information that enables searching through use of a Topics List. You can further drill down into sub-topics and documents, allowing you to quickly pinpoint very specific information. SmartRelate automatically displays related securities law information on point, saving research time. When viewing a document such as a law, regulation or explanation, SmartRelate buttons can be clicked to retrieve a list of links to related documents for immediate access.
  • *Found only in the print publication