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Comparative Securities Regulation -- Research Resources
Prepared for presentation to Prof. Olufunmilayo Arewa's class on Securities Regulation, 10 September 2007, by Irene Berkey (e-mail: i-berkey@law.northwestern.edu or phone: 312-503-8477), Foreign and International Law Librarian.
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
Individual chapters on 30 countries. (Does not include Mexico.) "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 Market 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)
Detailed analysis plus source material for many jurisdictions worldwide. (Does not include Brazil.) 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.
I,REF K 68 .M37 Also LexisNexis (INTDIG)
Detailed summary of laws of many countries. Within each country, arranged alphabetically by broad topic. See topic "Business Regulation and Commerce." Some countries have further sub-topic "Securities." Usually prepared by a leading law firm in the country and revised annually.
- Regulation of International Finance, by Philip R. Wood. Sweet & Maxwell, 2007.
I,MON K 1005 .W658 2007
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."
- Economist Intelligence Unit (EIU) - Detailed information on the business environment in countries worldwide. See especially under each country: Country Finance>Securities Markets.
- International Organization of Securities Commissions (IOSCO)
- Stock Exchanges at globalEDGE. Business Center at Michigan State University. Links to web sites of stock exchanges worldwide. Arranged by region. Other business related information is also available from this web site.
Research Guides
- "Securities Law," in Germain's Transnational Law Research: A Guide for Attorneys, by Claire Germain. Transnational Publishers, 1991- (loose-leaf).
I,REF K 85 .G47 1991-
- Foreign Law Guide. - 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:
Brazil
Germany
Hong Kong
India
Japan
- Financial Services Agency (English version)
- Mizuho Securities Co., Ltd.
- Doing Business in Japan. General editor Zentaro Kitagawa, M. Bender, 1980 (loose-leaf)
See vol. 1 (Desk Edition Volume) chapter 11 "Securities" (chapter current as of June 2003) and vol. 3 part 8 "Securities Transactions" (release dated August 2005)
N, HJA KNX 78 .B87 D65 1980 vols. 1-5 and suppls. 1 & 2 and LexisNexis (DBJAPN)
Mexico
South Africa
United Kingdom
- Financial Services Authority
- "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 section VIII, Securities Regulation, C. The United Kingdom
I,MON K 1005 .L39 2003
- Westlaw: Commonwealth Securities tab
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:
News Sources
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