Rely on One Source for All of Your Regulatory Research

There is no better resource than LIVEDGAR’s Securities Regulatory Library for comprehensive regulatory information from the SEC, NASD and NYSE. Virtually all historical and current regulatory content such as proposed and final rules, enforcement actions, interpretation memos, arbitration awards, sanction guidelines and exemptive letters are fully integrated into the data base, making it user-friendly and full-text searchable.

With the addition of two NASD content areas, GSI’s robust collection includes the NASD’s entire collection of arbitration awards consisting of more than 25,000 arbitration awards dating back to 1990, scanned from the original documents.

You can search and explore the written determination of arbitrators who resolve disputes among investors, firms and employees. Other Information rounds out one of the most extensive collection of NASD regulatory material available from a single source, and includes NASD exemptive letters, NASD interpretive letters, reports and studies, NASD sanction guidelines, and related documents.

When viewing the Securities Regulatory Library search page, you can find these new enhancements under the NASD section. You can simultaneously search across all three regulatory bodies or search content from each individual organization to focus your regulatory research on a single entity. Under the Search All heading, you can select from 80 check-box options that are logically organized under 12 categories to easily research and cross-reference any regulatory material that falls under the jurisdiction of the SEC, NASD or NYSE. Plus, you can leverage the check-box listing and Free Text, Release/File No. and Filing Date to further define your search and return focused results.



The SEC collection offers a wealth of information, and items in the SEC area are updated every two hours except items under the securities laws and regulations categories, which are updated weekly. Content from the NASD and NYSE areas is updated daily.

These collections provide extensive historical coverage with most topics including information dating back to the 1990s and many dating back even further. For example, the Library includes SEC Final Rules dating back to 1962, NYSE Interpretation Memos dating back to 1976 and NASD Notice to Members dating back to 1964.

Whether you are trying to stay current on today’s stringent securities compliance standards or research changes to the regulatory environment over time, LIVEDGAR’s Securities Regulatory Library is the ideal one-stop resource for all your regulatory research.