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Zimmerman's Research Guide


Federal Securities Law Reporter

CCH's Federal Securities Law Reporter brings together most of the materials essential for the practice of securities law. As such, it is probably the single most useful individual research tool for securities law research.

The FLSR is available in many formats. The print version is a 7-volume looseleaf service, with dozens of "transfer binders." CCH also publishes a CD-ROM version. An online version is available through Lexis (CCH;CCHSEC) and, for subscribers, through Intelliconnect.

Contents: The FSLR reprints the text, regulations, forms and case annotations for the following securities laws:

The Securities Act of 1933
The Exchange Act of 1934
The Public Utility Holding Company Act of 1935
The Trust Indenture Act of 1939
The Investment Company Act of 1940
The Investment Advisers Act

The final volume of the print version holds "Current Matter," that is, case digests and SEC rulings, no-action letters, interpretive letters, etc. from the current year. At the end of the year, these end up in Transfer Binders, which are generally kept at the end of the set. In addition to the general transfer binders, there are special ones for older Accounting and Auditing Enforcement Releases, Accounting Series Releases, and No Action and Interpretive Letters.

Some points of interest in the print version:

Accounting Releases and Auditing Releases are published under their own tab in Volume 7.

The SEC Enforcement Manual is published at ¶88,300.

Finding lists for USC sections, CFR sections, Industry Guides and Interpretive Releases are published under the Finding Lists tab in the back half of Volume 7; lists of general Releases and Case annotations get their own tabs.

Financial Reporting Releases are published under their own tab in Volume 7.

Forms are listed (a) in the Forms List starting on page 65,921 of volume 7, (b) in a Table of Contents by Act starting at page 65,0001 in volume 7 and/or (c) some are listed in the Index under "Forms" in Volume 1.

Form S-1: There is a section on "How to Answer Form S-1" in Volume 2.

Regulation S-T and Regulation S-X are published under their own tabs in Volume 6.

Regulation S-B and Regulation S-K are published under their own tabs in Volume 7.

Releases are listed in a table starting on page 68,001 of Volume 7.

Rules of Practice and Conduct before the SEC are published under their own tab in Volume 6.

Schedules A and B of the Securities Act are published immediately after the text of the Securities Act in Volume 1 of the print edition, but they are also presented in annotated form in Volume 2.

Staff Accounting Bulletins are published with their own tab in volume 7. The SABs are published in two parts -- at the front of the tab you get the top part of the SAB , in the rest you get the "Topics" (See "Staff Accounting Bulletins").

Staff Legal Bulletins are published with their own tab in Volume 6.

Shepard's: You can "Shepardize" FSLR paragraph citations (at least for cases).

State Laws: See "Blue Sky Laws."

See Also
Blue Sky Laws
Corporate Law
Securities and Exchange Commission
Securities Laws

For comments, questions and suggestions, email the author
Copyright 2015 Andrew Zimmerman