"[T]he Securities and Exchange Commission disseminates unsolicited advisory opinions in the form of SEC Releases, which may include guidelines or suggest interpretation of statutory provisions and rules. In addition to periodic interpretative releases, each time the Commission proposes a new rule or rule amendment, the proposal is accompanied by a release. Similarly, when new rules or amendments are adopted, the SEC’s formal adoption is accompanied by an interpretative release." Thomas Lee Hazen, Securities Regulation in a Nutshell § 4 (12th ed. 2021).
From 1973 through March 2018, SEC regulatory and enforcement releases were provided via the SEC Docket. Archives of the SEC Docket are available for free on SEC.gov and on the member database HeinOnline.
SEC Decisions and Releases are available for free on SEC.gov as well as on subscription databases like Lexis and Westlaw. A selection of these resources is listed below.
SEC.gov - Enforcement U.S. Security and Exchange Commission
Includes various releases, proceedings, and filings. Coverage varies.
SEC.gov - Regulatory Action U.S. Security and Exchange Commission
Includes various releases, orders, and other regulatory actions. Coverage varies.
Accounting and Auditing Enforcement Releases U.S. Security and Exchange Commission
Coverage begins with 1999.
Administrative Law Judge Orders U.S. Security and Exchange Commission
Coverage begins with 1996.
Commission Opinions and Adjudicatory Orders U.S. Security and Exchange Commission
Coverage begins with 1996.
Litigation Releases U.S. Security and Exchange Commission
Coverage begins with 1995.
SEC Concept Releases U.S. Security and Exchange Commission
Coverage begins with 1994.
SEC Docket U.S. Security and Exchange Commission
Includes SEC regulatory and enforcement releases. Coverage from 2013 through 2018.
SEC Interpretive Releases U.S. Security and Exchange Commission
Coverage begins with 1995. Select older interpretive releases also available.
The following member database includes access to SEC decisions. Members must be logged in to jenkinslaw.org to access this database. This database is also available in the library.
Securities and Exchange Commission Decisions
Available on Fastcase. From Browse Libraries, go to Caselaw Opinions > See More > Securities and Exchange Commission Decisions.
The following member database includes access to SEC decisions. Members must be logged in to jenkinslaw.org to access this database. This database is also available in the library.
SEC Docket
Available on HeinOnline. Includes SEC regulatory and enforcement releases. Coverage from vol. 1 (1973) through vol. 118 (2019). Once in HeinOnline, select U.S. Federal Agency Documents, Decisions, and Appeals > Browse by Agency > Securities and Exchange Commission (SEC) > SEC Docket.
United States Securities and Exchange Commission Decisions and Reports
Available on HeinOnline. Coverage from vol. 1 (1934) through vol. 58 (2005-2006). Once in HeinOnline, select U.S. Federal Agency Documents, Decisions, and Appeals > Browse by Agency > Securities and Exchange Commission (SEC) > Securities and Exchange Commission. Decisions and Reports.
The following member database includes access to SEC decisions. Members must be logged in to jenkinslaw.org to access this database. This database is also available in the library.
SEC Docket
Available on LLMC Digital. Coverage from vol. 1 (1973) through vol. 23 (1981). Once in LLMC Digital, select U.S. Federal Government > Executive > U.S. Executive (Agencies, alpha order) > SEC, The S.E.C. Docket, 1973-
Securities and Exchange Commission Decisions
Available on LLMC Digital. Coverage from vol. 1 (1934) through vol. 58 (2005-2006). Once in LLMC Digital, select U.S. Federal Government > Executive > U.S. Executive (Agencies, alpha order) > SEC, Securities & Exch. Com. Dec.
SEC Decisions, Orders & Releases
Available on the library's Lexis computers. From the Practice Area tab, select Securities Law > SEC Decisions, Orders & Releases (found under the "Administrative Materials" heading). Includes SEC administrative decisions, administrative proceedings, administrative proceedings and rulings, ALJ initial decisions, EDGAR Filer Manual, Market 2000 Report, and interpretative releases. Coverage begins with 1933.
SEC Releases
Available on the library's Westlaw computers. From the Practice areas tab, select Securities Litigation & Enforcement > Administrative Decisions & Guidance > Securities & Exchange Commission (SEC) > Releases. Includes decisions and releases from the SEC. Coverage begins with 1933.
SEC Enforcement
Available on the library's Bloomberg Law computer. From All Legal Content Search, select U.S. Regulatory & Administrative > U.S. Government Departments & Agencies > Securities & Exchange Commission (SEC) > SEC Enforcement. Includes SEC Litigation Releases, Commission Opinions and Orders, and more. Coverage varies.
SEC Guidance & Interpretation
Available on the library's Bloomberg Law computer. From All Legal Content Search, select U.S. Regulatory & Administrative > U.S. Government Departments & Agencies > Securities & Exchange Commission (SEC) > SEC Guidance & Interpretation. Includes SEC Interpretative Releases, SEC Industry Guides, and more. Coverage varies.
SEC Rulemaking
Available on the library's Bloomberg Law computer. From All Legal Content Search, select U.S. Regulatory & Administrative > U.S. Government Departments & Agencies > Securities & Exchange Commission (SEC) > SEC Rulemaking. Includes SEC Final Rule Releases, SEC Concept Releases, and more. Coverage varies.
Federal Securities Law Reporter
Available on the library's VitalLaw computer. From Practice Areas, select Securities - Federal & International > Treatises & Explanations > Federal Securities Law Reporter. Includes federal securities court opinions, SEC regulatory releases, and SEC no-action letters. The reporter is organized by act, with SEC rules, explanations, and other materials interspersed among the law sections to which they relate. Content begins with 2002.
SEC Accounting and Auditing Enforcement Releases
Available on the library's VitalLaw computer. From Practice Areas, select Securities - Federal & International > SEC & CFTC Materials > See All > SEC Accounting and Auditing Enforcement Releases. Coverage begins with 1982.
SEC Accounting Series Releases
Available on the library's VitalLaw computer. From Practice Areas, select Securities - Federal & International > SEC & CFTC Materials > See All > SEC Accounting Series Releases. Coverage from 1937 to 1982.
SEC Financial Reporting Releases
Available on the library's VitalLaw computer. From Practice Areas, select Securities - Federal & International > SEC & CFTC Materials > See All > SEC Financial Reporting Releases. Coverage begins with 1982.
SEC Releases and Other Material
Available on the library's VitalLaw computer. From Practice Areas, select Securities - Federal & International > SEC & CFTC Materials > See All > SEC Releases and Other Material. A collection of all releases, notices, settlements, orders, opinions, policy statements, reports and studies issued by the Securities and Exchange Commission from 1973 to the present (issued in print as SEC Docket). Also included are selected SEC releases published in the Federal Securities Law Reporter from 1940 to 1972.
Federal Securities Law Reporter CCH
Library has Transfer Binders 1945-2019. More recent years available on the library's VitalLaw computer.