Answered By: Library Reviewer
Last Updated: Oct 16, 2014     Views: 1

Securities regulations are first officially published in the Federal Register (F.R.) and later codified in the Code of Federal Regulations (C.F.R.). The Federal Register includes final rules, proposed rules, and SEC notices.  Rules that first appear in the daily Federal Register are later codified in the Code of Federal Regulations.

The official rules covering the 1933 and 1934 acts begin at 17 C.F.R. Part 230. The C.F.R. refers to each rule by a numbering system that mirrors the numbers the rules were assigned when the SEC originally promulgated them (e.g., Rule 144 of the Securities Act is 17 C.F.R. 230.144).

Attorneys and the courts generally refer to the commonly used Rule numbers rather than the official C.F.R. citations.

Securities regulations are also available in the following specialized sources for securities research.  These sources include indexing by topic, finding aids and cross references, and annotations:

For researching securities laws in print, see Securities Regulation: Selected Statutes, Rules and Forms (West 2012), Reserve (1st Floor), KF1433.99.S42 2012

For information on researching securities laws, please see the Law Library’s guide, Securities Law Research.

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