Georgetown Law
Georgetown Law Library

Securities Law Research (U.S. and International)

This guide is a starting point for research in securities law, covering U.S. federal, U.S. state, international, and foreign securities law.

Exchange & Self-Regulatory Organization Materials

The Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange (NYSE), the American Stock Exchange (AMEX) and the regional stock exchanges are U.S. organizations that create rules binding on their members and take disciplinary action against their members with the authorization of the SEC. They also create and enforce rules that apply to companies listed on their exchanges. Foreign stock exchanges also create and enforce rules that are applicable to companies listed with them. Sources of the materials produced by these organizations are listed below.

1. Proposed Rules and National Market System Plans of All SROs

  • SEC Web Site (selected proposals currently open for comment)

2. Financial Industry Regulatory Authority (formerly known as the National Association of Securities Dealers)

3. New York Stock Exchange (NYSE)

NYSE is now owned by NYSE Euronext, Inc., an Euro-American multinational financial services corporation that operates multiple securities exchanges, most notably New York Stock Exchange, Euronext and NYSE Arca. It was formed in 2007, when NYSE Group, Inc. merged with Euronext N.V. The American Stock Exchange (Amex) is now also part of NYSE Euronext,the acquisition was completed in October 2008 and it now becomes NYSE Amex.

4. NASDAQ Stock Market [http://www.nasdaq.com]

5. U.S. Regional Stock Exchanges

Information from the regional stock exchanges can be found on their web sites (listed below) and onCCH IntelliConnect (Exchanges & SROs tab).

Updated

jld (11/15)