Finding Enforcement Materials
Note: Be sure to check the currency, coverage, and status (official or unofficial) of all sources.
Administrative Proceedings
Note that SEC decisions are first announced in releases. Selected decisions are eventually reported in Securities and Exchange Commission Decision and Reports. The SEC Litigation page contains links to administrative proceedings in different stages, including notices and settlements of administrative proceedings; administrative law judge initial decisions and orders; Commission opinions and orders; reports of investigations; and more. This page also includes a link that lets you search the litigation materials available on the SEC website.
Another useful source is CCH’s Federal Securities Law Reporter looseleaf and the electronic version of the Federal Securities Law Reporter. (Non-commercial use only; Harvard ID and pin required.) After clicking on the link above, click on "CCH Business & Finance Research Network," then on "Enter" and then click on the "Securities" tab.
Westlaw
Lexis
For information on locating litigation releases, see the Finding Litigation Releases page.
Judicial Decisions
Federal securities court decisions, as other court decisions, are reported in the Federal Supplement Series, the Federal Reporter Series, and the United States Reports Series. (For general information on how to conduct case law research, see the Effective Case Law Research Guide.) In addition, the following sources may be helpful:
- SEC Litigation page - contains links to litigation releases (federal court actions), and more. This page also includes a link that lets you search the litigation materials available on the SEC website.
- CCH’s Federal Securities Law Reporter and the electronic version of the Federal Securities Law Reporter. (After clicking on the link to the left, click on "CCH Business & Finance Research Network," then on "Enter" and then click on the "Securities" tab.)
Westlaw
Lexis
For information on locating litigation releases, see the Finding Litigation Releases page.
Note that there are Westlaw Key Numbers and Lexis Search Advisor categories specific to securities law. For help finding these, see a reference librarian.