Comparative Securities Regulation -- Research Resources

Prepared for Prof. Olufunmilayo Arewa’s class on Securities Regulation, fall semester 2009, by Irene Berkey, Foreign and International Law Librarian.

For questions about this guide, contact Library Reference, Foreign, Comparative, and International Law Librarian (e-mail | (312) 503-8451) .

This selective list of resources focuses on the following jurisdictions: Australia, Brazil, Canada, China, Dubai (United Arab Emirates), France, Germany, Hong Kong, India, Japan, Mexico, Nigeria, South Africa, United Kingdom. Unless otherwise indicated, links are to English language versions of websites. Note that the English language versions of web sites might differ from the vernacular version in content and currency.

Multi-country resources:

  • International Securities Law Handbook, edited by Jean-Luc Soulier and Marcus Best, authored by World Law Group Member Firms. 2nd ed. Kluwer Law International, 2005.
    I,MON K 1331 .I555 2005 ON RESERVE
    Individual chapters on 30 countries. (Does not include China, Dubai, Mexico, Nigeria.) "The laws of the relevant jurisdictions covered by this book are those in force as at 31 December 2003." Provides citations to laws, but does not include text. Each chapter follows the same format. Includes section of detailed contact information for contributors.


  • International Capital Markets and Securities Regulation, ed. by Harold S. Bloomenthal and Samuel Wolff. Rev. ed. West Group, 2003- (loose-leaf)
    I,MON K 1331 .I55 2003 vols. 1-9 and Westlaw (SECINTCAP) ON RESERVE
    Detailed analysis plus source material for many jurisdictions worldwide. (Does not include Brazil, China, Dubai, Nigeria.) Each country chapter follows "a common format based largely on the U.S. model, notwithstanding the fact that securities regulation follows a somewhat different pattern in each country." Note: call number labels show volumes 1-9 , but binders themselves are numbered 10 through 10H. United States discussed in volumes 10 and 10A; other countries in vols. 10B and 10C. Source materials are in vols. 10D through 10H. Also, Part I, Chapter 1 "Introduction" incorporates discussion of various countries.


  • International Securities Regulation. Stock Exchanges of the World: Selected Rules & Regulations. Robert C. Rosen, general editor. Oceana Publications, 1993- (loose-leaf)
    I,MON K 1331 .I559 vols. 1-4


  • Martindale-Hubbell International Law Digest. LexisNexis (INTDIG)
    Detailed summary of laws of many countries, usually prepared by a leading law firm in the country and revised annually. Search by segment: (country) and (category=business regulation) and (text= securities). Does not include Dubai.


  • Regulation of International Finance, by Philip R. Wood. Sweet & Maxwell, 2007.
    I,MON K 1005 .W658 2007 ON RESERVE
    This recent book deals with securities regulation within the broader framework of financial regulation. See especially chapter 4, "Comparison of Regulatory Regimes"; chapter 5, "Country Summaries: United Kingdom"; chapter 8, "Other Country Summaries."


  • “International Capital Markets and Securities Regulation," by Harold S. Bloomenthal, in The Law of Transnational Business Transactions, ed. by Ved P. Nanda and Ralph B. Lake. Thompson/West, 2003-
    See volume 2 chapter 12. (Does not included Canada, China, Dubai, India, Nigeria, South Africa.)
    I,MON K 1005 .L39 2003 And Westlaw (LTBT)

  • Economist Intelligence Unit (EIU) Available from anywhere to all members of the Northwestern University community- Detailed information on the business environment in countries worldwide. See especially under each country: Country Finance>Securities Markets. If there is no "Country Finance" page, see Country Profile > Economic Sectors > Financial Services.


  • International Organization of Securities Commissions (IOSCO) - See "Members Lists" for contact information and web sites for Commissions, by jurisdiction.


  • International Stock Exchange Websites at globalEDGE. International Business Center at Michigan State University. Links to web sites of stock exchanges worldwide. Arranged by region. Does not include Nigeria. Other business related information is also available from this web site.

Research Guide

  • Foreign Law Guide Available from anywhere to members of the NU School of Law community. - Under each country, see heading "Securities and Stock Exchange" for citation to relevant laws, English translations, and detailed discussion. Introductory material on each country discusses legal system and legal literature.

Resources for individual countries:

Australia

Brazil

Canada

China

Dubai

France

Germany

Hong Kong

India

Japan

Nigeria

Mexico

South Africa

United Kingdom

General Country Information

Finding Books

  • NUcat Searching Tips: Using NUcat to search for books on a topic
  • Some LC subject headings are listed below. From the NUcat "Search" tab, search in "Subject Heading" or "Browse Subject Heading." (The dashes can be omitted.)

    Securities
    Securities industry—Law and legislation
    Securities industry—Self-regulation
    Securities industry—State supervision
    Stock exchanges—Law and legislation

Finding Articles

 See the following pages on the Pritzker Legal Research Center web site:

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