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Reference Sites

Welcome to our new Securities Resources page. (Okay. Some of this material was here before, but it was cleverly hidden behind a link for CyberSecuritiesLaw so that doesn’t count!) We hope you will find it useful. We also hope you will tell us if you notice a link is bad, or if you know of a good resource that we have not included. We’ll continue to refine and update the list to keep it as current as possible.

News and Information
Federal Securities Law
State Securities Law
Regulatory Agencies, Self-Regulatory Organizations, and Standard-Setting Bodies
U.S. Courts
Securities Trade Associations, Investor Protection Groups, and Other Organizations
Securities, Commodities, Options and Future Exchanges
Other Resources

News and Information

Securities Law News

SEC News Sources

 

Financial and Market News

Blogs

Market Data

IPO News and Information
  • IPO Central
    Contains information about U.S. companies that have gone public or have filed to go public.
  • IPO Data
    Contains the latest news and information on IPOs
  • IPO Home
    Renaissance Capital's IPO Web site regarding recent filings, news, commentary, pricings, rankings, IPO Calendars, IPO Mutual Fund.
  • IPO Monitor
    subscription service
  • IPO News - Yahoo!
    Daily news reports on IPO transactions
M&A News and Information

Federal Securities Law

Statutes

Rules, Regulations and Forms SEC Filings
  • EDGAR
    Searchable database of SEC filings available approximately 24 hours after they are filed
  • EDGAR Online
    Searchable database of SEC filings with better search function than SEC's EDGAR (subscription required)
  • LivEDGAR (subscription required)
    Includes searchable database of SEC comment letters and issuer responses
  • Partes FreeEDGAR
    Realtime access to EDGAR filings (without 24-hour delay)
  • 10-K Wizard (subscription required)

Non-U.S. Filings (Filings Similar To EDGAR Filings)

  • SEDAR
    Canada's answer to EDGAR
Securities Litigation Filings

Securities Industry Association - Library of briefs filed in cases

Stanford Securities Class Action Clearinghouse

State Securities Law

North American Securities Administrators Association (NASAA)

  • Home Page
  • Library
    Includes links to proposed, adopted and archived statements of policy; proposed, adopted and archived model rules; state lists and proposals; memoranda of understanding; resolutions; model acts and provisions; uniform forms; NASAA comment letters; reports; surveys; jury instructions; and more
  • Member Representatives List

Regulatory Agencies, Self-Regulatory Organizations, and Standard-Setting Bodies

U.S. Regulators

U.S. Securities and Exchange Commission

Commodity Futures Trading Commission

Federal Trade Commission

NASAA Member Web Sites - Links to state securities departments' Web sites

Self-Regulatory Organizations (SROs) in the U.S.

NASD, Inc.

New York Stock Exchange

The Municipal Securities Rulemaking Board

The Financial Accounting Standards Board

Non-U.S. Securities Regulators, Regulatory Agencies, and Related Organizations

The International Organization of Securities Commissions (IOSCO)

IOSCO Members (Links to each nation's securities regulator's Web site)

International Accounting Standards Board

U.S. Courts

U.S. Supreme Court

All other federal and state courts - links from findlaw.com

Securities Trade Associations, Investor Protection Groups, and Other Organizations

Securities Trade Associations

Securities Clearance, Facilities Management Depositories, and Securities
Registration Depositories
Other Organizations and Groups

Securities, Commodities, Options and Future Exchanges

U.S. Securities, Commodities, Options and Futures Exchanges

Non-U.S. Securities, Commodities, Options and Futures Exchanges

Other Resources

General Securities Law Resources

Electronic Prospectus Delivery

Industry and Trade Organizations

Muni-Bond and Fixed Income Securities Sites

  • BondDesk.com
    (BondExchange LLC, Goldman Sachs Group, Inc., PaineWebber Incorporated, and Spear, Leeds & Kellogg)
  • TradeBonds.com
  • TradeWeb - The Online Bond Market
    (Credit Suisse First Boston, Goldman Sachs, Lehman Brothers Inc., Merrill Lynch, Salomon Smith Barney Inc., Deutsche Bank AG, J.P. Morgan and Morgan Stanley Dean Witter)

Private Placement and Angel Investor Sites

Internet-Related SEC Interpretive Releases