Access the most up-to-date laws, regulations and securities industry news issued by federal and state agencies, as well as SROs with the most authoritative resource available, the Compliance Resource Network. Financial and Legal professionals have trusted Wolters Kluwer Financial Service for over 65 years when CCH (now Wolters Kluwer) first began delivering securities rules and regulations in print, the dominant resource of its time. Today, the Compliance Resource Network continues that leadership, while expanding globally and enhancing technologies to deliver content more completely and efficiently.
The Compliance Resource Network in the US features a complete and comprehensive collection of all relevant Securities and Banking regulation and legislation, plus practical guidance that provides insight to help structure your daily compliance challenges and understand their applicability to your business.
The Compliance Resource Network provides primary source content for:
Save time in your research of multi-jurisdictional rules and regulations from one global source - the online Compliance Resource Network. Our in-depth coverage provides the industry’s largest and most complete selection of exchange and self-regulatory organization rulebooks and references – in print and online. Many of the governing agencies listed below rely on Wolters Kluwer Financial Services to not only distribute their rulebooks, but also serve as their publisher and intranet service provider.
Rulebooks are available in print and some on CD-Rom. They contain official rules, policies, constitutions, member directories and more. These authoritative, up-to-date guides are an indispensable reference library for you and your business.
The following is a list of all the rulebooks available on the online Compliance Resource Network:
The following is a list of all the rulebooks and resources available in print or on CD-Rom:
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We offer a full suite of resources to guide you through the complex, and ever-changing maze of federal securities and banking regulations. Federal regulatory coverage of federal laws and rules, plus regulations from the SEC, FINRA CFTC, FDIC, FFIEC, FRB, OCC and OTS is available to you on ONE online resource, the Compliance Resource Network. In addition, some titles are available in print or on CD-Rom, you will be directed to an online store if available.
Libraries and titles offered include:
Access the most definitive collection of federal banking laws, regulations and agency reference material, plus explanations and summaries organized by Act. Coverage includes:
Offers the six major laws governing the federal securities world: the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940 and the Investment Advisers Act of 1940, and the rules, regulations and forms enacted there under. This library also includes: The Commodity Exchange Act of 1974 and related rules and regulations, Texts of SEC releases dating back to 1995, and all SEC Staff Accounting Bulletins and Staff Legal Bulletins
This is a collection of all SEC no-action, or interpretive, letters back to 1971. This database provides full text of over 60,000 no-action letters issued by the SEC staff in reply to inquiries on a host of SEC-related subjects. In addition, it includes CCH Washington Service Bureau abstracts back to 1978 and Federal Securities Law Reporter headnotes appended to selected letters, which summarize the correspondence and applicable rules.
Contain a topically-organized database of SEC enforcement actions, including administrative proceedings, SEC opinions, initial decisions, litigation releases, and Federal court opinions. Documents are arranged into relevant categories, such as the counterparty (e.g., broker-dealers, attorneys, investment advisers), conduct alleged (e.g., fraud, insider trading, options backdating), and remedies awarded. Users can browse the categories or search across selected document types and/or categories. The archive includes enforcement actions released since 2002 and is updated weekly.
This is a collection of SEC staff comment letters and issuer responses publicly released by the SEC pertaining to filings made after August 1, 2004. The SEC began to publicly release these documents in May 2005. This database reproduces the text of letters describing questions or concerns raised during the staff's review of a particular filing. The database also reproduces the text of the company's response to those comments. To facilitate browsing and targeted searching, letters are grouped by category (e.g. Registration, Proxy Materials, Periodic and Current Reports) and then, within each category, by the particular filing type in question (e.g. Form S-1, Form 8-K, Schedule 13D).
This contains weekly highlights of regulatory, legislative, judicial and industry developments affecting federal securities law. References in the report letter link directly to the full-text source material reproduced in the Federal Securities Law Reporter. Includes archival issues back to 1998.
This is a practical guide to understanding and complying with the day-to-day requirements of the federal securities laws that affect all public companies. Using a question-and-answer format similar to that which the SEC has embraced, this guide provides clear, concise and understandable answers to the most frequently asked securities compliance questions, and easy access to the principal statutes, regulations, judicial decisions, and forms.
This library is a collection of "compliance and disclosure interpretations," previously known as "telephone interpretations," issued by the SEC's Division of Corporation Finance regarding the statutes, regulations and forms that it administers.
This outlines the rules and regulations affecting the securities market, providing comprehensive coverage and plain-English explanations in a single volume. Through annual supplementation, you’ll keep pace with the ever-increasing volume of litigation, and receive up-to-date examinations of recent regulatory developments and court cases.
Regulatory Risk Report is published twice each month. The purpose of the report is to identify and summarize important regulatory developments affecting the global financial services industry that has occurred in the past two weeks. Simply organized by – US, UK & EU, International & Asia, and AML and Fraud allows the reader to easily focus on areas directly of interest.
Each edition contains approximately 50 articles, with over 150 links. The articles within the Regulatory Risk Report all have quick links to the underlying source regulations for easy access and research.
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This is a monthly newsletter that covers substantive developments in corporate and securities law on the state, national and international levels.
The Sarbanes-Oxley Manual, 2nd Edition is a comprehensive desk reference explaining the Sarbanes-Oxley Act and all related SEC rulemaking to date.Building on the hugely successful title, Sarbanes-Oxley Act of 2002: Law and Explanation, this work delves further by discussing the multitude of ensuing rules, studies, and listing standards, and putting them all into perspective. The manual examines, among many other topics, the statutory and rule provisions governing: audit committees, auditor independence, certification of corporate reports, Section 16 insider reporting, Public Company Accounting Oversight Board composition and rules, attorney professional responsibility, analyst conflicts of interest, and management's assessment of internal controls. It also reproduces the full text of the Act.
This year's edition of the Commodity Exchange Act, Regulations and Forms, contains the full text of the Commodity Exchange Act and all amendments as of July 2006. This book also includes the rules, regulations and forms of the Commodity Futures Trading Commission and revisions thereto. The title is compiled from the CCH Commodity Futures Law Reporter.
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Provides analysis of an Act that not only overhauls the regulatory scheme for commodities exchanges, but also cuts across regulatory boundaries by amending securities and banking laws, as well as the financial services modernization Gramm-Leach-Bliley Act, in order to address legal certainly for U.S. derivatives markets and to repeal the ban on trading single stock futures. The full text of the enacted law, H.R. 5660, is included, along with selected text of the Committee Report on H.R. 4541, the precursor bill to H.R. 5660.
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This title provides detailed explanation of the SEC's new privacy rules, adopted pursuant to the Gramm-Leach-Bliley Act, for brokers-dealers, investment companies, and investment advisers. A must-have reference, it incorporates SEC interpretations of the rules, as well as practical guidance for compliance. The new privacy rules apply to all brokers, dealers, investment companies, and registered investment advisers, regardless of their firm size.
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The SEC Handbook reproduces the latest requirements, as of November 2008, for preparing financial statements and related disclosure documents filed with the Securities and Exchange Commission. It includes the full-text of SEC rules, forms, interpretations and other materials that govern financial reporting and disclosure by public companies.
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This Handbook is an excellent compendium of various SEC rules, regulations and forms. As has been done in the past, Chapters 2 and 3 of this book highlight new rules and SEC interpretations relevant to annual disclosure documents as well as those proposed rules that are likely to influence future filings.
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State Regulatory coverage on the Compliance Resource Network is offered in two formats designed to ensure complete confidence in your trades and compliance information needs. The following are the tools and titles available:
In partnership with Blue Sky Data, a leading provider of Blue Sky rules and regulations intelligence, we bring you the most comprehensive and reliable information and interactive tools ensuring Blue Sky compliance on secondary market trading. Blue Sky Data actively questions and seeks up-front clarification of the security requirements as they are issued in order to provide the compliance community with fast and accurate interpretations.
Features all essential information needed for the Blue Sky law practitioner, including:
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Features all materials contained in the Blue Sky Essentials (above) as well as the following:
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This innovative software lets you complete, edit, and print 790 securities forms, instructions, and continuation sheets right from your computer. It includes Blue Sky forms and instructions for all 53 jurisdictions (50 states, plus D.C., Guam, and Puerto Rico), as well as SEC, NASD, and Uniform forms and instructions. Includes state-specific Uniform/Federal form filing requirements, state filing agency contact listings, and automatic message indicators that alert subscribers to mandatory filing information. It also offers helpful features, such as the Common Data Form (CD-ROM only), that allows you to store client or project information and later apply to any open form.
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Compliance Resource Network also offers the most in-depth and authoritative practical guidance materials that allow you to truly understand and interpret the regulations affecting your business. They are authored by industry experts in every financial services field and are available in various formats that suit your preferences.
Here are just some of the highlights:
Hot Topics industry expert coverage of major live regulatory themes such as data protection, financial crime, hedge funds, insider trading and many more. Each Hot Topic is divided into six sections:
Authored by contributing writers within the compliance community, this journal addresses specific themes tied to current trends and regulatory changes, and offers practical advice on day-to-day activities. Published bi-monthly; available online and in print.
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Authored by Sheehan, Metcalfe and Burstein
This guide is written in plain English to help you understand the rules of FINRA and how they apply to you business. Organized into seven key functional areas of your firm: Relationships with Customers; Relationships with Associated Persons; Relationships with Regulators; Relationships with other Members and Non-Member Entities; Recordkeeping and Regulatory Reporting; Rules Regarding Specific Products; Rules Regarding Securities Underwritings.with cross-references to Interpretive Letters and Notices to Members, as well as hypothetical examples to illustrate how a rule might apply in real-life situations. Available online at Compliance Resource Network or in print.
Authored by Norm S. Poser, James A. Fanto
This Fourth Edition covers the full range of the law that governs the relationship between broker-dealers and their customers, from duties under the common law, to obligations imposed by the federal securities statutes. Provides insightful analysis on such crucial issues as private rights of action, securities arbitration and mediation, and regulation. Updated annually.
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Authored by Loss and Seligman
Outlines the rules and regulations affecting the securities market, providing comprehensive coverage and plain-English explanations in a single volume. Through annual supplementation, you’ll keep pace with the ever-increasing volume of litigation, and receive up-to-date examinations of recent regulatory developments and court cases.
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This is a monthly newsletter that covers substantive developments in corporate and securities law on the state, national and international levels.
If you have any questions, feel free to inquire with a Wolters Kluwer Financial Services representative.
