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Federal Securities Law


"Securities are the instruments which evidence the financial rights, and in some instances, the power to control, the corporations which own the great majority of our nation’s and the world’s productive facilities. Securities are the instruments through which business enterprises and governmental entities raise a substantial portion of the funds that are used to finance new capital. Securities are the instruments in which many millions of Americans (and investors all over the world) invest their savings in order to provide for their retirement income, education for their children, or in the hopes of achieving a higher standard of living for themselves and their family. And, inevitably, securities are the instruments by which unscrupulous promoters and salespersons prey on those hopes and desires by selling overvalued (or even worthless) paper to many thousands of people every year." Thomas Lee Hazen, Principles of Securities Regulation § 1 (5th ed. 2021).

This guide focuses on the resources available at Jenkins and online that are useful for researching securities law. This includes primary resources like statutes, regulations, and caselaw, as well as treatises and other secondary resources.