Securities Law Resources
Links and information are given about resources and articles dealing with securities and securities law. Over fifteen links to securities and exchange sites are provided with a short synopsis of the site and what is provided.
Other Sites Involving Securities Self-Regulation
This site sponsored by the American Stock Exchange offers American Stock Exchange News items, market and historical data, a listing of exchange traded funds (ETFs), listed equities, and options market information.
The Boston Stock Exchange is a self regulatory organization that oversees and regulates all trading on the Boston Equities Exchange LLC and the Boston Options Exchange LLC. Rules of the Exchange, news & publications, and Equity trading through the Boston Equities Exchange are resources available on this site.
Board Options Exchange
CBOE makes available to you daily ETF market statistics, Daily market statistics, equity volume and more. You will also find a Learning Center with links for The Options Institute which provides training on how to manage risk through the use of options strategies. Products available: equity options, index options, options on ETFs, interest rate options and more.
Available on this site: traded issues, market regulation, rules, CHX holdings, publications and resources, exchange traded funds, OTC issues, block trading, average pricing, listings for AMEX and NYSE securities traded at CHX, CHX Press releases, and more.
Inc. (the parent)
Resources include information dealing with the consolidation of NASD and NYSE regulation functions into SRO (self-regulatory organization), rules and regulations, regulatory enforcement information, regulatory systems, arbitration and Mediation and investor information.
Nasdaq Stock Market, Inc.
Follows market activity by the minute. Information about extended trading, News, ETFs/QQQ, Investor Tools are listed, and names of listed companies.
Market Activity on the NYSE is given along with NYSE regulations, along with listings for products, services, companies traded and investor news items
Pacific Exchange equities trading now occurs entirely through NYSE Arca, an online securities exchange owned by NYSE.
Information about products available on the Philadelphia Stock Exchange, quote and trade information, press releases about the exchange and its products, newsletters and market analysis reports, trade publications and guides to financial products, links to financial websites, and a glossary of financial terms with definitions.
Securities Rulemaking Board
The MSRB is responsibile for making rules that regulate dealers of municipal bonds, municipal notes, and other municipal securities. Any changes to these rulese are also posted on this site.
- "Self-Regulation and Securities Markets" (Spring 2003)
by Adam C. Pritchard, University of Michigan
This article focuses on the importance of investor trust when looking at securities and the securities markets. The article discusses the importance of reliable self regulation and the government's role in providing necessary tools for the exchanges as they mold their rules and regulations.
- SEC Concept Release (March 8, 2005)
This Security and Exchange document asks for public comment relating to the securities industry and its self regulation.
- A Review of the SEC Office of Economic Analysis Board Independence Studies
This thirty page 2007 study prepared by the Investment Company Institute examines two studies done by the Office of Economic Analysis (OEA) relating to mutual fund board independence.