Best Lawyers for Securities / Capital Markets Law in Mountain Brook, Alabama

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Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation Financial Services Regulation Law Corporate Compliance Law Banking and Finance Law
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Corporate Law Securities Regulation Securities / Capital Markets Law Mergers and Acquisitions Law
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Health Care Law Corporate Governance Law Corporate Compliance Law Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Securities / Capital Markets Law Health Care Law Mergers and Acquisitions Law Securities Regulation
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Corporate Law Corporate Governance Law Mergers and Acquisitions Law Health Care Law Leveraged Buyouts and Private Equity Law Venture Capital Law Securities / Capital Markets Law Business Organizations (including LLCs and Partnerships)
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Corporate Law Securities / Capital Markets Law
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Securities / Capital Markets Law Financial Services Regulation Law Securities Regulation Banking and Finance Law
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Securities / Capital Markets Law
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Corporate Law Securities / Capital Markets Law

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Practice Area Definition

Securities / Capital Markets Law Definition

Securities/Capital Markets Law is the practice area of lawyers who represent entities that issue securities to raise capital, security holders seeking to sell their securities, or banks and investment banks that underwrite and sell such securities. The entities that issue the securities are typically corporations, limited liability companies, limited partnerships, mutual funds, exchange traded funds (ETFs), grantor trusts, or real estate investment trusts (REITs). These entities may be U.S.- or non-U.S.-based. The types of securities that may be issued include common and preferred stock, secured and unsecured debt (which may be investment grade or “high-yield”), convertible debt securities, equity linked notes, securitized debt, limited partnership interests, American depositary receipts (representing stock of non-U.S. companies), commercial paper, and options and other derivatives related to such securities. These securities may be sold in public offerings or in private placements to institutional and sophisticated investors.

Lawyers in this area must have a comprehensive understanding of the federal securities laws administered by the SEC and the securities laws of the jurisdictions in which the securities will be sold, as well as the rules of the national securities exchanges and FINRA. A significant part of their practice is advising issuers and underwriters as to what information about the issuer and the securities being offered is “material” or otherwise required to be disclosed to prospective investors in the issuer’s disclosure documents and offering materials. Their ability to render effective disclosure advice requires extensive experience in dealing with issuers that have faced difficult disclosure issues as well as the ability to call on lawyers in other practice areas to help analyze the client’s issues that require specialized knowledge.

Sidley Austin LLP

Sidley Austin LLP logo

Securities/Capital Markets Law is the practice area of lawyers who represent entities that issue securities to raise capital, security holders seeking to sell their securities, or banks and investment banks that underwrite and sell such securities. The entities that issue the securities are typically corporations, limited liability companies, limited partnerships, mutual funds, exchange traded funds (ETFs), grantor trusts, or real estate investment trusts (REITs). These entities may be U.S.- or non-U.S.-based. The types of securities that may be issued include common and preferred stock, secured and unsecured debt (which may be investment grade or “high-yield”), convertible debt securities, equity linked notes, securitized debt, limited partnership interests, American depositary receipts (representing stock of non-U.S. companies), commercial paper, and options and other derivatives related to such securities. These securities may be sold in public offerings or in private placements to institutional and sophisticated investors.

Lawyers in this area must have a comprehensive understanding of the federal securities laws administered by the SEC and the securities laws of the jurisdictions in which the securities will be sold, as well as the rules of the national securities exchanges and FINRA. A significant part of their practice is advising issuers and underwriters as to what information about the issuer and the securities being offered is “material” or otherwise required to be disclosed to prospective investors in the issuer’s disclosure documents and offering materials. Their ability to render effective disclosure advice requires extensive experience in dealing with issuers that have faced difficult disclosure issues as well as the ability to call on lawyers in other practice areas to help analyze the client’s issues that require specialized knowledge.