Researching the Federal Securities Law

sec-sealThe SEC has put together a collection of Researching the Federal Securities Laws Through the SEC Website.

This guide provides an overview of how to research the securities law through the SEC website and is provided as a service to investors and members of the public. It is neither a legal interpretation nor a statement of SEC policy. If you have questions concerning the meaning or application of a particular law or rule you should consult with an attorney who specializes in securities law. This guide does not address primary and secondary sources available in print or through other websites, other than those to which the SEC website links. The guide is organized by providing suggestions for the research of:

  • Statutes (the Securities Laws)
  • SEC Rules and Regulations
  • SEC Concept Releases
  • SEC Interpretive Releases
  • SEC Staff Interpretations

In general, you should conduct your research on the federal securities laws in the order prescribed above. This is because while the federal statutes and the SEC rules and regulations have the force of law, other SEC-issued documents vary in the degree to which they carry the force of law.