UCLA School of Law | Hugh & Hazel Darling Law Library

ucla-law-logo

Secondary & Practice Guides: Securities Regulation

This guide includes the Library's most current, updated secondary and practice guides.
URL: http://libguides.law.ucla.edu/secondarypractice

Securities Regulation

Analysis of key SEC no-action letters and compliance and disclosure interpretations. (West)  Link to Westlaw subscription database (ID/password required)*

Blue sky law reporter. (Commerce Clearing House, 1967- )  Online access via CCH IntelliConnect

Blue sky regulation. Robert N. Rapp. (Matthew Bender)  LexisNexis subscription database (ID/password required)*

Broker-dealer law and regulation [electronic resource], 4th ed. Norman S. Poser & James A. Fanto. (CCH)  Online access via CCH IntelliConnect  

Capital markets handbook [electronic resource]. (CCH)  Online access via CCH IntelliConnect

Corporate finance and the securities laws, 4th ed. Charles J. Johnson, Jr., Joseph McLaughlin. (Aspen Publishers, 2006- )  Online access via CCH IntelliConnect

Federal securities law reporter. (Commerce Clearing House, 1975- )  Online access via CCH Intelliconnect

Fundamentals of securities regulation, 6th ed. Louis Loss et al. (Wolters Kluwer Law & Business, c2011)  KF 1439 .L68 2011 (Reserve)

Handbook for preparing SEC annual reports and proxy statements (CCH). (Wolters Kluwer Law & Business, 2006- )  KF 1446 .S435

Mutual fund regulation, 2nd ed. Clifford E. Kirsch. (Practising Law Institute, 2005- )  KF 1078 .M88  &  Online access via Bloomberg Law (ID/password required)*

NYSE listed company manual [electronic resource]. (New York Stock Exchange)  Online access via CCH IntelliConnect

Periodic reporting under the federal securities laws. (BNA, c2011- )  KF 1397 .C654 no. 89 (Reserve)

Raising capital [electronic resource]: private placement forms & techniques, 3rd ed. J. Robert Brown, Jr. & Herbert B. Max. (CCH)  Online access via CCH IntelliConnect

The regulation of money managers: mutual funds and advisers, 2nd ed. Tamar Frankel, Ann Taylor Schwing. (Aspen Law & Business, 2001- )  Online access via CCH IntelliConnect  

Regulation of securities: SEC answer book, 4th ed. Steven Mark Levy. (Wolters Kluwer Law & Business, c2011- )  KF 1070 .Z9 L472

SEC compliance and disclosure interpretations [electronic resource]. (CCH)  Online access via HeinOnline Collection

The SEC enforcement process: practice and procedure in handling an SEC investigation. (BNA, c2011- )  KF 1397 .C654 no.77-4th (Reserve)

SEC no-action letters [electronic resource]. (CCH)  Online access via CCH IntelliConnect

Section 16 deskbook. Peter J. Romeo and Alan L. Dye. (Executive Press, 2006- )  KF 1073 .I5 A183

Section 16 treatise and reporting guide, 4th ed. (Executive Press, c2012)  KF 1073 .I5 R65 2012

Securities arbitration procedure manual, 5th ed. David E. Robbins. (LexisNexis, 2001-)  KF 1070 .R632 & LexisNexis subscription database (ID/password required)*

Securities books and treatises [electronic resource]. Online access via Bloomberg Law (ID/password required)*

Securities crimes. Marvin G. Pickholz. (West Group, 1993- )  Westlaw subscription database (ID/password required)*

Securities law handbook. Harold S. Bloomenthal. (Clark Boardman, 1978- )  KF 1432 .B56

Securities law and practice deskbook. 6th ed.  Gary M. Brown.  (PLI, 2012- )  Online access via Bloomberg Law (ID/password required)*

The securities law of public finance, 3rd ed. Robert A. Fippinger. (PLI, c2011- )  Online access via Bloomberg Law (ID/password required)

Securities litigation: a practitioner's guide. Jonathan C. Dickey, ed. (PLI)  Online access via Bloomberg Law (ID/password required)*

Securities practice guide. LexisNexis subscription database (ID/password required)*

Securities regulation, 5th ed. Louis Loss, Joel Seligman, Troy Paredes. (Wolters Kluwer Law & Business, 2014- )  KF 1439 .L683 2014

Securities regulation and law report. (BNA) Online access via BNA's Law School Program Core Package (Law School Only)

Tax-advantaged securities handbook. Peter M. Fass & Robert J. Haft. (Thomson Reuters, 2010- )  Westlaw subscription database (ID/password required)*

Treatise on the law of securities regulation, 7th ed. Thomas Lee Hazen. (West, 2016-)  KF 1439 .H39 2016 (Reserve)

U.S. regulation of the international securities and derivatives markets, 9th ed. (Aspen Publishers, 2006- )  Online access via CCH IntelliConnect

California:

California practice guide. Corporations. C. Hugh Friedman. (Rutter Group, 1984- )  KFC 345 .A6 F75 (Reserve) & Westlaw subscription database (ID/password required)*

Organizing corporations in California, 3rd ed. Keith W. McBride, et al. (CEB, c2001- )  KFC 345 .073

Practice under the California securities laws. Harold Marsh Jr., Robert H. Volk. (Matthew Bender, 1973- )  KFC 270 .M37 1973 & LexisNexis subscription database (ID/password required)*

*NOTE: UCLA School of Law provides Bloomberg Law, LexisNexis & Westlaw accounts for UCLA law students, faculty, and staff only.