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Secondary & Practice Guides: Securities Regulation

This guide includes the Library's most current, updated secondary and practice guides.

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 VitalLaw

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

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

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

Fundamentals of securities regulation, 7th ed. Louis Loss et al. (Wolters Kluwer Law & Business, c2018)  KF 1439 .L68 2018 (Reserve) & Online Access via VitalLaw

Financial product fundamentals:  law, business & compliance, 2nd ed.  Clifford E. Kirsch.  Online access via PLI Plus

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

Mutual funds and exchange traded funds regulation, 3rd ed. Clifford E. Kirsch. (Practising Law Institute, 2011- )  Online access via PLI Plus

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

Regulation of securities: SEC answer book, 5th ed. Steven Mark Levy. (Wolters Kluwer, c2017- )  KF 1070 .Z9 L472

Responsibilities of corporate officers and directors under federal securities lawsOnline access via VitalLaw

SEC no-action letters. (CCH)  Online access via VitalLaw

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

Securities arbitration procedure manual. David E. Robbins. (LexisNexis, 2001-) Lexis 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 PLI Plus

The securities law of public finance, 3rd ed. Robert A. Fippinger. (PLI, c2011- )  Online access via PLI Plus

Securities litigation: a practitioner's guide. Jonathan C. Dickey, ed. (PLI)  Online access via PLI Plus

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

Securities regulation, 6th ed. Louis Loss, Joel Seligman, Troy Paredes. (Wolters Kluwer Law & Business, 2014- )  KF 1439 .L683 2019 & Online access via VitalLaw

Securities regulation and law report. (BNA) Online access via Bloomberg Law (ID/password required)* 

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)


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 & Lexis subscription database (ID/password required)*

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