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The addition of the Securities Regulatory Library to LIVEDGAR means users can now access virtually all current and historical information issued by the SEC, NASD and NYSE from one location.
The rules and regulations issued by the nation’s major securities regulatory organizations drive how you approach all of your securities compliance work. Now, with the introduction of the Securities Regulatory Library to LIVEDGAR, you can easily research and cross-reference the entire body of regulatory information issued by the NASD, NYSE and SEC from one location. For example, easily research:
- How the NYSE and NASD have incorporated Sarbanes-Oxley Act compliance measures into their respective regulatory frameworks.
- Hundreds of regulatory enforcement documents to find instances of improper IPO distribution activities or “spinning.”
- Self-Regulatory Organization rule changes from their initial submission to final approval by the SEC.
From the Securities Regulatory Library, which can be accessed from the Main Menu, you can research each library individually or all the libraries at once. Under the Search All heading you can select from 78 check box options logically organized under 12 categories to locate proposed and final rules, enforcement actions, interpretation memos, member updates, speeches, testimony and more. Plus you can leverage the Free Text, Release/File No. and Filing Date fields to further define your search and conduct even more focused research on any topic in the library.
From any area in the Library, you can take advantage of additional powerful LIVEDGAR features such as Alerts and Worklist. Select any subset of your search results and add them to your Worklist for review at a later time. Or set up an Alert on any regulatory issue and be notified via e-mail as soon as any new material matching your search criteria is added to LIVEDGAR.
LIVEDGAR’s SEC Library content continues to be the comprehensive resource you have come to rely upon and its existing content has been fully integrated into the expanded Securities Regulatory Library.
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