Securities Practice Center


The Securities Practice Center provides a comprehensive securities practitioners’ toolkit including a range of practice tools, primary sources, secondary analysis, and news. 

How to Use the Practice Center

The Practice Center is organized by tabs: Practice Pages, Laws & Regulations, Regulatory Agencies, Exchanges & SROs, Litigation & Dockets, Transactional Resources, Practice Tools, BNA Portfolios, Books & Treatises, and News & Law Reports.  


You can use each of the tabs on the left-hand side to easily navigate to all the resources relevant to your practice needs. 

 

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Practice Pages

Practice Pages are focused on the specialized needs of practitioners.  These pages provide editorially crafted EDGAR searches; curated sets of precedents, guidance, and forms; BNA Portfolios; statutes and rules; and news.  Use these pages to quickly hone in on the tools, secondary analysis, and primary content most useful to your practice specialty.


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Practice Tools

Use the Practice Tools tab on the left-hand side to access the various trackers and multi-state surveys.

 

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BNA Portfolios and Books & Treatises

The BNA Portfolios and Books & Treatises tabs are organized into practice specialties.  Use these tabs to find the portfolio or treatise by practice need. 


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Transactional Resources

The Transactional Resources Tab provides quick access to the DealMaker Database, the EDGAR Search, the Drafting & Guidance documents, as well as the Deal Analytics tool. 

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Additional Securities Practice Center Features
  • The SEC ALJ Enforcement Tracker allows you to navigate recent enforcement actions by Issue, Entity, Individual Title, Remediation, and Judge.
  • The state Blue Sky laws chart builders provide quick access to securities registration requirements and exemptions information—intelligence that is vital prior to making a securities offering in any state.
  • Get quick access to all of the SEC and CFTC resources via the Regulatory Agencies tab.
  • The Exchanges & SROs tab gives users quick access to materials related to FINRA, PCAOB, NFA, MSRB, NYSE, and NASDAQ.