Securities Electronic Resources

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Broker/Dealer Compliance Report (BNA)
Monitors securities laws, regulations, industry rules, and legal proceedings at federal and state levels affecting broker/dealers. Also provides news of the latest SEC, NASD Regulation, and NYSE actions — rule changes, enforcement trends, violations and penalties, policies and procedures, and more. Enforcement activities are tracked, with reports on charges brought, cases pending, arbitration awards, verdicts and settlements, fines, and penalties.

International Securities & Business (Wolters Kluwer)
(See database for contents)

Knowledge Mosaic
Knowledge Mosaic organizes federal statutory, regulatory, enforcement, and disclosure information. Focuses specifically on heavily regulated industries – including securities, finance, communications, technology, and SEC EDGAR filings. Research across nearly 30 federal and self-regulatory organizations. These include financial regulators such as the SEC, CFTC, FDIC, FFIEC, FinCEN, FINRA, FRB, NCUA, NYSE, OCC, OFAC, PCAOB, and Treasury. Also includes other agencies covering Congressional oversight and the regulation of communications, energy, and the environment (including the BLM, DOI, DOJ, EPA, FCC, FERC, NLRB, NRC, and OSHA).

Securities – Federal (Wolters Kluwer)
(See database for contents)

Securities – State (Wolters Kluwer)
(See database for contents)

Securities Law Daily (BNA)
Developments in the regulation of securities and futures trading and accounting, with objective coverage of the Securities and Exchange Commission, Commodities Futures Trading Commission, industry, federal and state courts, and Congress. Contains all issues published since January 25, 1999.

Securities Litigation (Wolters Kluwer)
(See database for contents)

Securities Regulation & Law Report (BNA)
Weekly coverage of federal and state developments in the regulation of securities and futures trading and accounting, with coverage of the Securities and Exchange Commission, Commodities Futures Trading Commission, industry, courts, and Congress. Contains all issues published since February 2, 1996.

World Securities Law Report
Monthly news of developments in the regulation of transactions involving securities around the world, as well as expert analysis of and practical guidance regarding these developments. Focuses particularly on developments affecting cross-border transactions. contains all issues published since September 2004.