Securities Law Online Resources

Note: The following links are to the web.archive site in order to avoid broken links. For historical reason we keep some old sites in this list.

Historical Background
History of Wall Street
The Dow Jones Indexes – History and Explanations
The History of the Stock Market
The Stock Market’s History
Northern Securities Co. v. U. S. (1904)
Standard Oil Co. v. U. S. (1911)
Blue Skies & Market Blues: 1929 & 1997
The Stock Market Crash of 1929
Black Thursday: October 24, 1929
The Wall Street Crash
The Main Causes of the Great Depression
The Roaring 20s & The Great Depression
The Great Depression & The New Deal
Financial Scandals
The Relevance Of Adam Smith
Shearman & Sterling History Exhibit
The Museum of American Financial History
The Museum of Financial Art, Architecture and History
Historical Economic Statistics    

The Law
United States Code.
Code of Federal Regulations UPDATED
Anderson’s Ohio Revised Code UPDATED
Anderson’s Ohio Administrative Code

Securitiles Law: Rules & Regulations
Securities Act of 1933
Securities Exchange Act of 1934
US Code Title 15 Chapter 2B: Securities Exchanges
Securities Law Decisions of Importance
ORC Title 1: State Government
ORC Title 17: Corporations–Partnerships
The Securities Lawyer’s Deskbook

Blue Sky Laws
Introduction to the Blue Sky Laws
State Blue Sky Laws
Blue Sky Laws: Glossary

Government Departments & Agencies
US Securities and Exchange Commission
SEC Division of Enforcement Complaint Center
Office of Foreign Assets Control
Commodity Futures Trading Commission (CFTC)
The Ohio Division of Securities

Agency Opinions, Actions & Rulings
Federal Register Online via GPO Access
SEC Enforcement Actions
Commodity Futures Trading Commission Opinions & Orders
Ohio Enforcement Orders

Government Publications & Databases
EDGAR Online: The Source for Today’s SEC Filings
ERNIE: Ohio Division of Securities Security Filing Database
OASSIS: Ohio Automated Securities Information Submission System
U.S. Department of Justice’s Guide on Internet Fraud
Internet Fraud: How to Avoid Internet Investment Scams 
Internet Fraud: Report OnLine Fraud to the SEC
How to Create Clear SEC Disclosure Documents 

General Information: Securities
The Securities Law Page
Securities Registration Depository
Securities Class Action Clearinghouse
SCADs Case List (Chronological)
Statutes of Limitation
SEC Investigations & Enforcement Actions: An Overview & Discussion of Recent Trends in Accounting Fraud Investigations 
Legal Causes of Action Against Brokers & Brokerage Firms
Securities Arbitration – An Overview
Securities Fraud and Investor Protection Web
Global Securities Information Home Page
Obligations of a Stockbroker
The Investor’s Law Center
The Reform Act’s ‘Safe Harbor’ Provision has Resulted in Dismissals

Bonds & Funds
The Bond Market Association
Index Funds Online – Index Fund Information
Hedge Fund & Investment Management Page
Quicken Brokerage Mutual Fund Finder

The Markets
New York Stock Exchange
The Nasdaq Stock Market
Futures and Options at the Chicago Mercantile
The Chicago Board of Trade
Frankfurter Wertpapierboerse
London Stock Exchange
The Stock Exchange of Hong Kong
The Toronto Stock Exchange

Online Trading 
SEC Final Rules: Regulation of Exchanges & Alternative Trading Systems
Daytrading/Trading
Dogs of the Dow
Becoming a Day Trader

IPO’s
Beginner’s Guide to IPOs
Bloomberg’s IPO Center
IPO Resource Page

International Securities
Australian Securities and Investments Commission
Canada Stockwatch

General Information
Caution: Dip Ahead!! Can Anyone Really Predict the Stockmarket??
Business Reference Materials
CBS MarketWatch – Market Data
Locating Historic Stock Prices on the Web
The Motley Fool: How To Value Stocks
StockMaster
Guidelines for Ticker Symbols
Dow Jones Business Directory
E-Line Financials – Annual Reports, Stock Quotes
Annual Report Gallery
Commodity Flow Survey
Bibliography: Stocks, Options, Futures, Commodities
ADRs: American Depositary Receipts
Y2K and the Global Financial Markets
The OSU Virtual Finance Library
Resources for Economists on the Internet    NEW

Securities Issues in the News
Corporate Investigations 
SEC-Congressional Testimony Index
C-SPAN: Corporate Accountability & Investigations
Sec & Other Investigations of Illegal Trading
Foundation of Bush’s Fortune Questioned–1991 SEC Memo Surfaces

CEO & CFO Certification 
Frequently Asked Questions About Commission Order No. 4-460
SEC Clarifies Order Requiring CEO & CFO Certification 
New SEC Oath Requirements for CEOs & CFOs Regarding Recent Exchange Act Filings
SEC Orders CEOs & CFOs of Specified Companies to Certify to the Accuracy & Completeness of Recent Filings 
SEC Proposes CEO and CFO Certification of Periodic Reports, New Form 8-K Requirements and Shorter Filing Deadlines

Enron 
The Daily Enron 
FindLaw Legal News Special Coverage: Enron
C-SPAN: The Enron Investigation 
Employer Stock & Enron Issues 
SEC Chairman Says Enron’s Collapse Shows Need For Change 

Halliburton   
SEC Launches Probe Into Halliburton’s Accounting 
Cheney’s Old Firm Under SEC Investigation 
Bush Defends Cheney over Halliburton 

WorldCom 
Securities and Exchange Commission v. WorldCom, Inc., Civil Action 02 CV 4963 (S.D.N.Y.) (June 27, 2002)
SEC Levels Fraud Charges At WorldCom
FindLaw Legal News Special Coverage: WorldCom
WorldCom: Six Questions for Directors
Scoop: Investigator Who Cleared Bush Gets WorldCom Job

Qwest 
Qwest Talks to Settle SEC Investigation
SEC Asks Qwest for Global Crossing Data
Qwest Calls SEC Probe “Corporate McCarthyism”
Qwest in Talks with the SEC
Qwest-SEC Begin Settlement Talks 

Global Crossing 
Global Crossing Reports It is The Subject of an SEC Investigation
Global Crossing Battles Accounting Controversy 
SEC’s Global Crossing Probe Spreads to Qwest 

Tyco 
FindLaw Legal News Special Coverage: Tyco 

AOL Time Warner 
More Problems for AOL 
AOL Raises Red Flags Over Three Past Deals
SEC Widens AOL Investigation
AOL’s Accounting Under SEC Investigation 

Organizations
NASAA: North American Securities Administrators Association
NASD: National Association of Securities Dealers, Inc.
International Organization of Securities Commissions
ABA Committee on Federal Regulation of Securities
COSO: The Committee of Sponsoring Organizations of the Treadway Commission   NEW

Guides
Securities Law Research Guide
Research Guide to Federal Securities Law 
Stock & Commodity Exchanges Reseach Guides   NEW

Journals & News
Stanford Journal of Law, Business and Finance
CNN-Money
Business Week
Fortune
Forbes: The Capitalist Tool
Dow Jones & Company   NEW
The Wall Street Journal 
CFO.Com

Tools
NASD Manual
EDGAR Filings
The SEC Mutual Fund Cost Calculator
Nasdaq Stock Market Glossary
Glossary for Traders
10 Finance And Investing Related Glossaries
Dictionary of Derivatives Terms

Forms
Selected Forms Prescribed under the Securities Act of 1933
GSA Forms
Legal Forms for Corporations & Securities
Ohio Division of Securities Forms Index