Find Lawyers in Atlanta, Georgia for Securities Regulation
Ben Barkley advises public and private clients in a broad range of corporate finance transactions and securities regulatory matters, including: mergers and acquisitions public offerings and private placements of debt and equity securities venture capital and private equity investments compliance with securities disclosure obligations corporate governance corporate restructurings, recapitalizations and distressed situations joint ventures and strategic alliances special committee, board and in...
Michael J. "Mick" Cochran serves as Dentons' US Corporate practice group leader. Mick is highly experienced in the areas of private equity, mergers and acquisitions, corporate finance and distress transactions. His core practice involves representing buyers, sellers and financiers in their investing activities and financing needs. He also acts as a strategic advisor to clients with respect to a variety of financial, business and legal issues. Mick's transactional experience includes represent...
Hill Jeffries' practice is focused on a variety of corporate finance transactions, including U.S. and international capital markets offerings, as well as mergers and acquisitions, securities regulation, corporate governance, and the general representation of public and private companies. Mr. Jeffries represents companies and investment banking firms in a wide variety of corporate finance transactions. He has completed over 100 public offerings, including 25 initial public offerings, having an...
Scott Ortwein is co-leader of Alston & Bird’s global Corporate Area, which includes its Corporate & Securities, Energy, Finance, Financial Services & Products, Health Care, Real Estate, and Public Policy Groups. Scott concentrates his practice in mergers and acquisitions and corporate finance. Scott advises boards of directors and committees of boards in their consideration of extraordinary corporate transactions as well as significant corporate governance matters, including...
Securities Regulation Definition
Clients also need advice in investigations and enforcement actions concerning possible violations of the securities laws. These investigations may be conducted by the SEC, by state securities commissions or attorneys general, FINRA and other self-regulatory organizations (including, for accounting firms, the PCAOB), and federal or state criminal prosecutors. Securities regulatory lawyers may represent individuals or entities in these inquiries, and must often coordinate with other law firms in industry-wide investigations. Securities regulatory lawyers conduct internal investigations for companies or their boards of directors as well as regulatory entities, including individual, class, and derivative actions, and in arbitrations before FINRA, JAMS, AAA, and international arbitration forums.
Securities regulatory lawyers must understand the relevant legal and regulatory issues and the different products and services subject to securities regulation. These products and services include common and preferred stock; corporate, government, agency, municipal and convertible bonds; open-end and closed-end mutual funds; exchange-traded funds and notes; structured products; asset-backed securities; private funds; separately managed accounts; variable annuities; 529 plans; warrants; options; futures; swaps; commodity pools; bank collective trust funds; and insurance separate accounts. Securities regulatory lawyers also must understand the roles of floor-based and electronic exchanges, dark pool and other alternative trading systems, over-the-counter, "upstairs" and private placement markets, the clearance and settlement utilities, and the rules relating to all of these markets. Securities regulatory lawyers must understand how to conduct cross-border transactions consistent with the laws and regulations of the relevant jurisdictions. Finally, securities regulatory lawyers must stay current on legal, regulatory, and enforcement developments of the SEC, CFTC, FINRA, MSRB, PCAOB, the securities and futures exchanges, the states, and, post-Dodd-Frank, the Federal Reserve Board, FSOC, and other banking regulators.
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