Answered By: Kate Britt
Last Updated: Jan 05, 2018     Views: 0

The Securities and Exchange Commission (SEC) is the federal agency that is responsible for regulating the securities industry. It was created under the Securities Act of 1933 and the Securities Exchange Act of 1934. The Commission publishes a lot of materials including: 

Online sources of SEC publications include the following:

  • SEC website (includes SEC Reports and Publications dating back to 1935)
  • CCH IntelliConnect under Securities (Federal)
  • Lexis Advance (Administrative & Agency Materials > Federal > Independent Agencies)
  • Westlaw (Administrative Decisions & Guidance > Federal Administrative Decisions & Guidance)

Additional SEC materials in the Library include the following:

  • Federal Securities Law Reporter by Commerce Clearing House (CCH) (SMITH KF1436.5 .C645x)
    (1964-1994 in print) 7 vol., accompanied by court decisions in transfer binders. See catalog record for information regarding electronic access to this title.
  • SEC No-action and Interpretive Letters (1989-2004)(Micro-10 S401 and sec.gov)

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