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Whether you need to research key provisions under Dodd-Frank, or require specific guidance on SEC and CFTC issues, Bloomberg Law’s Securities Practice Center delivers expert analysis, practice tools, news, and primary sources to help you address your most complex matters. Stay on top of the latest regulatory developments and quickly access dockets and securities court opinions, regulatory materials, including an advanced SEC No-Action Letter Search, as well as company filings with the specialized EDGAR Search.
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TIME-SAVING ACCESS TO KEY LAWS & REGULATIONS

Easily find the details you need on important federal securities laws and regulations and state blue sky laws. Get instant access to securities law and regulations via our “Go-To” functionality, including all major Acts, the Code of Federal Regulations, and SEC and CFTC materials — all in one place. Plus, stay informed on current federal securities legislation with the Recent Securities Legislation table.

Securities Practice Center

 

Bloomberg Law makes it easy to access securities laws and regulations, including:

  • Federal Laws
    • Securities Act of 1933
    • Securities Exchange Act of 1934
    • Trust Indenture Act of 1939
    • Investment Advisers Act of 1940
    • Investment Company Act of 1940
    • Securities Investor Protection Act of 1970
    • Private Securities Litigation Reform Act of 1995
    • Securities Litigation Uniform Standards Act of 1998
    • Sarbanes-Oxley Act of 2002
    • Dodd-Frank Wall Street Reform and Consumer Protection Act
    • Jumpstart Our Business Startups (JOBS) Act
    • Commodity Exchange Act
  • Regulations & Forms
    • Securities Act Rules
    • Exchange Act Rules
    • Trust Indenture Act Rules
    • Investment Advisers Act Rules
    • Investment Company Act Rules
    • SEC Forms
  • All State Blue Sky Laws

BENEFIT FROM A MORE TAILORED EDGAR SEARCH

The Bloomberg Law EDGAR Search makes it easy to tailor your search and obtain the context you need to make informed decisions and act more quickly on SEC filings. Enhanced functionality includes market-based search filters, related document stock charts — providing a unique way to consider filing precedents — and side-by-side and redlined views of results produced in Item and Risk Factor searches, with the option to compare your own drafted text alongside other filings.
 
EDGAR Search

DIG INTO EDGAR COMMENT LETTERS

Easily determine how the Securities and Exchange Commission (SEC) is handling disclosure issues in EDGAR filings. The new EDGAR Comment Threads database breaks each comment within a comment letter into its own thread, connecting SEC Staff comments with the filer’s responses, all the way through to resolution.

DISCOVER EXTENSIVE SEC DOCUMENTS

Take advantage of a wide collection of regulatory materials from the Securities & Exchange Commission — all fully searchable. Look up final rules, proposed rules, and concept releases; comment letters; enforcement materials (including litigation releases and administrative proceedings); guidance such as our extensive database of no-action letters (including the specialized SEC No-Action Letter Search); self-regulatory organization rulemaking materials; and EDGAR filings, including 10-Ks, 10-Qs, 8-Ks, and S-1s.

Turn to Bloomberg Law for crucial SEC documents, including:

    • Agency Information
    • Agency Rules, Forms & Filings
    • Rulemaking
    • Enforcement
    • Guidance
    • Investment Management Regulation

GET TIMELY, TRUSTED ANALYSIS

Gain real-world insight from a wide range of current awareness publications, including Bloomberg BNA’s Securities Regulation & Law Report™, Alternative Investment Law Report®, and White Collar Crime Report™. Achieve a deeper understanding of securities law issues with books and treatises written by top practitioners. Get up to speed quickly on a particular topic or area of securities law with titles from Bloomberg BNA, Practising Law Institute (PLI), the American Bar Association (ABA), and more. Plus, use the Corporate Practice Series Portfolios, Accounting Rules and Disclosures Portfolios and other Bloomberg BNA Portfolios to learn how leading practitioners handle issues similar to those faced by you and your clients.

Securities Regulation & Law Report

MODERNIZE YOUR TRANSACTIONAL WORK

Obtain the guidance you need with Bloomberg Law’s specialized SEC No-Action Letter Search. This intuitive search includes several fields that enable you to narrow your search, making the discovery of relevant no-action letters easy and efficient. Available fields include: Company, Law Firm, Topic, Act Section/Rule, and more.

ADDITIONAL CONTENT HIGHLIGHTS:
  • Securities Law Practice Pages let you quickly find the information that suits your practice with pages that are tailored to your securities-related needs. Dedicated categories for Financial Services, Capital Markets, and Securities Litigation feature customized access to relevant primary and secondary resources — all of which are designed to streamline your workflow and give you a competitive edge.
  • Additional Transactional Resources include document descriptions, deal news, and practice notes, plus access to a proprietary database containing over 300,000 documents and millions of clauses from real transactions that have been organized by experienced attorneys using over 500 categories.
  • Litigation Trackers allow you to track recent securities class action settlements and fee awards, and review recent U.S. Supreme Court securities decisions with links to oral argument transcripts, lower court decisions, and related Bloomberg BNA analysis.
  • Exchanges & Self-Regulatory Organizations (SROs) contain rules, codes, and manuals from over 30 entities, including FINRA, NASDAQ, NYSE, MSRB, and PCAOB, as well as daily rule tracking from the top exchanges and SROs.
  • Books & Treatises from publishers including the American Bar Association (ABA) and Practising Law Institute (PLI), as well as the Getting the Deal Through series let you search and browse through titles including, but not limited to:

BLOOMBERG BNA

    • Whistleblowing: The Law of Retaliatory Discharge
    • Corporate Practice Series
    • Accounting Rules and Disclosures

AMERICAN BAR ASSOCIATION

    • Business Torts Litigation
    • Corporate Director’s Guidebook
    • Financial Statement Analysis and Business Valuation for the Practical Lawyer
    • Internal Corporate Investigations
    • SEC Executive Compensation Disclosure Rules
    • The ABCs of the UCC: Article 8: Investment Securities

GETTING THE DEAL THROUGH

    • Anti-Corruption Regulation
    • Anti-Money Laundering
    • Arbitration
    • Banking Regulation
    • Corporate Governance
    • Dispute Resolution
    • Mergers and Acquisitions
    • Merger Control
    • Private Equity (Fund Formation)
    • Private Equity (Transactions)
    • Project Finance
    • Securities Finance
    • Tax on Inbound Investment

PRACTISING LAW INSTITUTE

    • Accountant’s Liability
    • Asset-Based Lending: A Practical Guide to Secured Financing
    • Broker-Dealer Regulation
    • Conducting Due Diligence in a Securities Offering
    • Corporate Compliance Answer Book 2010
    • Corporate Legal Departments
    • Corporate Whistleblowing in the Sarbanes-Oxley Era
    • Covered Bonds Handbook
    • Credit Market and Subprime Distress: Responding to Legal Issues
    • Deskbook on Internal Investigations, Corporate Compliance and White Collar Issues
    • Directors’ & Officers’ Liability
    • Dodd-Frank Wall Street Reform and Consumer Protection Act – A Summary
    • Doing Business Under the Foreign Corrupt Practices Act
    • Drafting for Corporate Finance
    • Exempt and Hybrid Securities Offerings
    • Financial Product Fundamentals: Law – Business – Compliance
    • Hedge Fund Regulation
    • Initial Public Offerings: A Practical Guide to Going Public
    • Insider Trading Law and Compliance Answer Book 2011-12
    • International Corporate Practice: A Practitioner’s Guide to Global Success
    • Investment Adviser Regulation
    • Mutual Fund Regulation
    • PLI’s Guide to the Sarbanes-Oxley Act for Business Professionals
    • PLI’s Guide to the Securities Offering Reforms
    • PLI’s Guide to the SEC’s Executive Compensation and Related Party Transaction Disclosure Rules
    • Private Equity Funds: Formation and Operation
    • Securities Investigations: Internal, Civil and Criminal
    • Securities Litigation: A Practitioner’s Guide
    • Soderquist on Corporate Law and Practice
    • Soderquist on the Securities Laws
    • Structured Finance: A Guide to the Principles of Asset Securitization
    • Terminating Derivative Transactions: Risk Mitigation and Close-Out Netting
    • The Securities Law of Public Finance
  • Bloomberg BNA Securities Law Reports deliver vital news, analysis, and authoritative commentary on key legislative, regulatory, and judicial securities-related developments, and their implications on your clients’ business. Titles include the Securities Law Daily™, Securities Regulation & Law Report™, Accounting Policy & Practice Report®, Alternative Investment Law Report®, Broker/Dealer Compliance Report™, White Collar Crime Report™, and World Securities Law Report™.
  • Bloomberg News, Bloomberg Businessweek, and the Securities News page together offer relevant news from thousands of sources.

 

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