Securities Law (U.S. and International) Research Guide

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), NASDAQ, 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.

Proposed Rules and National Market System Plans of All SROs

Financial Industry Regulatory Authority/FINRA (formerly known as the National Association of Securities Dealers/NASD)

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.

NASDAQ Stock Market

Nasdaq is a global electronic marketplace for buying and selling securities. Its name was originally an acronym for "National Association of Securities Dealers Automated Quotations." It operates 29 markets, one clearinghouse, and five central securities depositories in the United States and Europe.

U.S. Regional Stock Exchanges

Information from the regional stock exchanges can be found on their web sites (listed below).