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Minnesota Legal Reference Library
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Securities and Commodities Law

Securities Law
Excludes securities litigation and arbitration.

Resources in this category:
   Wex: Blue Sky Law (Legal Information Institute)
   Raising Capital: Securities Laws and Business Considerations by Fox Rothschild LLP (July 1, 2016) (Minnesota Department of Employment and Economic Development (DEED) Small Business Assistance Office)
According to a press release announcing the book issued July 10, 2003 by the Department of Employment and Economic Development's Communications Office, "Raising Capital offers a primer of information about legal and business issues that should be addressed by entrepreneurs and other business owners as they prepare for raising capital. It covers key topics like securities law, venture financing, private equity offerings, strategic alliances, initial public offerings, and raising capital via the Internet."

7th ed. (July 2016). 185 pages.

   NASAA Fraud Center (North American Securities Administrators Association)
This page educates and informs about investment scams, schemes, scandals, and frauds, how to spot a con artist, how to avoid becoming a victim, how to contact your state securities regulator and file an investment-related complaint, and an "Investor Bill of Rights."
   Sarbanes-Oxley Act of 2002 (University of Cincinnatti College of Law)
H.R. 3763. 66 pages.
   Wex: Securities Law (Legal Information Institute)
   Small Public Company Forum (A consortium of professional firms)
"An ongoing forum geared specifically toward smaller reporting companies."

Initial efforts include a seminar held in June 2009 with archived session podcasts and materials, along with ongoing information.

Participating firms:

  • Baker Tilly Virchow Krause, LLP
  • Carver Moquist & O'Connor, LLC
  • Feltl and Company
  • Internal Control & Anti-Fraud Experts, LLC
  • Maslon Edelman Borman & Brand, LLP

See also:
  • Buying or Selling a Business
  • Corporate Governance
  • Financial Industry Regulatory Authority - FINRA
  • Franchise Law
  • Fraud and Misrepresentation
  • Securities and Commodities Forms & Documents
  • U.S. Securities and Exchange Commission
  • Similar resources in our Wisconsin Legal Reference Library
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