Library
Finding Self-Regulation Materials
Note: Be sure to check the currency, coverage, and status (official or unofficial) of all sources.
Below is a list of some sources of helpful self-regulation materials, though it is not a comprehensive list.
Print Manuals
- NASD Manual - CCH
- MSRB Manual - CCH
SEC Web Page
Lexis
Westlaw
- NASD Final, Temporary and Proposed Regulations Combined (NASD-REG)
- NASD Federal Register (NASD-FR)
- NASD Code of Federal Regulations (NASD-CFR)
- NASD Disciplinary Decisions (NASD-DISP)
- NASD Arbitration Awards (NASD-ARB)
- NASD Manual (NASD-MANUAL)
- NYSE Arbitration Decisions (NYSE-ARB)
- NYSE Constitution (NYSE-CONST)
- NYSE Combined Material (NYSE)
- NYSE Disciplinary Decisions (NYSE-DISP)
- NYSE Information Memos (NYSE-INFOMEM)
- NYSE Interpretation Handbook (NYSE-INTRP)
- NYSE Interpretation Memos (NYSE-INTRPMEM)
- NYSE Listed Company Manual (NYSE-LCM)
Select Stock Exchange Websites