Best Lawyers for Securities Regulation in America

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Lawyer
  • Location:
    New Orleans, Louisiana Ridgeland, Mississippi
  • Practice Areas:
    Litigation - Securities Securities / Capital Markets Law Corporate Law Securities Regulation Mergers and Acquisitions Law
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Securities Regulation Litigation - Banking and Finance Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Leveraged Buyouts and Private Equity Law Corporate Law Securities Regulation Mergers and Acquisitions Law
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Leveraged Buyouts and Private Equity Law Corporate Law Securities Regulation Corporate Governance Law International Mergers & Acquisitions Mergers and Acquisitions Law Securities / Capital Markets Law
Lawyer
  • Location:
    Tampa, Florida
  • Practice Areas:
    International Trade and Finance Law Securities / Capital Markets Law Corporate Law Securities Regulation Corporate Governance Law Mergers and Acquisitions Law
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Securities / Capital Markets Law Corporate Law Securities Regulation Mergers and Acquisitions Law Leveraged Buyouts and Private Equity Law
Lawyer
  • Location:
    Little Rock, Arkansas
  • Practice Areas:
    Corporate Law Securities Regulation Mergers and Acquisitions Law Securities / Capital Markets Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Administrative / Regulatory Law Litigation - Securities Securities Regulation
Lawyer
  • Location:
    Phoenix, Arizona
  • Practice Areas:
    Venture Capital Law Securities / Capital Markets Law Corporate Law Corporate Governance Law Securities Regulation Mergers and Acquisitions Law
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Corporate Law Securities Regulation Private Funds / Hedge Funds Law Securities / Capital Markets Law Mutual Funds Law
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Securities / Capital Markets Law Corporate Law Securities Regulation Corporate Governance Law Mergers and Acquisitions Law
Lawyer
  • Location:
    Little Rock, Arkansas
  • Practice Areas:
    Securities Regulation Mergers and Acquisitions Law Corporate Law Securities / Capital Markets Law
Lawyer
  • Location:
    Memphis, Tennessee
  • Practice Areas:
    Leveraged Buyouts and Private Equity Law Securities Regulation Corporate Governance Law Securities / Capital Markets Law Private Funds / Hedge Funds Law Mergers and Acquisitions Law Corporate Law Corporate Compliance Law
Lawyer
  • Location:
    Columbia, South Carolina
  • Practice Areas:
    Corporate Compliance Law Securities Regulation Corporate Law Securities / Capital Markets Law Corporate Governance Law
Lawyer
  • Location:
    Los Angeles, California
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Columbus, Ohio
  • Practice Areas:
    Securities / Capital Markets Law Litigation - Securities Securities Regulation
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Tax Law Securities Regulation Mergers and Acquisitions Law Corporate Law
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Securities Securities Regulation
Lawyer
  • Location:
    San Francisco, California
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    Denver, Colorado
  • Practice Areas:
    Corporate Governance Law Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Indianapolis, Indiana
  • Practice Areas:
    Litigation - Securities Bet-the-Company Litigation Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Securities Regulation
Lawyer
  • Location:
    Tampa, Florida
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Securities Regulation Securities / Capital Markets Law Leveraged Buyouts and Private Equity Law Banking and Finance Law
Lawyer
  • Location:
    Jacksonville, Florida
  • Practice Areas:
    Securities / Capital Markets Law Venture Capital Law Commercial Transactions / UCC Law Leveraged Buyouts and Private Equity Law Corporate Governance Law Corporate Compliance Law Mergers and Acquisitions Law Securities Regulation Corporate Law Business Organizations (including LLCs and Partnerships)
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Banking and Finance Law Securities / Capital Markets Law Securities Regulation Financial Services Regulation Law Corporate Compliance Law
Lawyer
  • Location:
    Burlington, Vermont
  • Practice Areas:
    Securities Regulation Mergers and Acquisitions Law Securities / Capital Markets Law Corporate Law
Lawyer
Matthew P. Feeney was awarded 2020 "Lawyer of the Year" in Elasticsearch.PracticeArea

Matthew P. Feeney

Snell & Wilmer L.L.P.
  • Location:
    Phoenix, Arizona
  • Practice Areas:
    Securities / Capital Markets Law Banking and Finance Law Corporate Law Securities Regulation Mergers and Acquisitions Law Mutual Funds Law Corporate Governance Law
Lawyer
  • Location:
    Los Angeles, California
  • Practice Areas:
    Bankruptcy and Creditor Debtor Rights / Insolvency and Reorganization Law Corporate Law Securities Regulation Securities / Capital Markets Law Mergers and Acquisitions Law
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities Regulation Corporate Governance Law Securities / Capital Markets Law Litigation - Securities Corporate Compliance Law Commercial Litigation Litigation - Mergers and Acquisitions
Lawyer
David Foltyn was awarded  "Lawyer of the Year" in

David Foltyn

Honigman LLP
  • Location:
    Detroit, Michigan
  • Practice Areas:
    Corporate Compliance Law Mergers and Acquisitions Law Leveraged Buyouts and Private Equity Law Securities / Capital Markets Law Securities Regulation Corporate Law Corporate Governance Law
Lawyer
  • Location:
    Red Bank, New Jersey
  • Practice Areas:
    Securities / Capital Markets Law Corporate Law Securities Regulation Mergers and Acquisitions Law Litigation - Securities Litigation - Mergers and Acquisitions
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Corporate Law Securities Regulation Securities / Capital Markets Law Financial Services Regulation Law Banking and Finance Law
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Corporate Law Securities Regulation Securities / Capital Markets Law Banking and Finance Law
Lawyer
  • Location:
    Columbia, South Carolina
  • Practice Areas:
    Securities Regulation Securities / Capital Markets Law Mergers and Acquisitions Law Corporate Law
Lawyer
  • Location:
    New Orleans, Louisiana
  • Practice Areas:
    Mergers and Acquisitions Law Venture Capital Law Securities / Capital Markets Law Corporate Law Securities Regulation
Lawyer
  • Location:
    Cincinnati, Ohio
  • Practice Areas:
    Corporate Law Securities / Capital Markets Law International Mergers & Acquisitions Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Corporate Governance Law Securities Regulation
Lawyer
  • Location:
    Pittsburgh, Pennsylvania
  • Practice Areas:
    Mergers and Acquisitions Law Venture Capital Law Securities / Capital Markets Law Securities Regulation Corporate Law
Lawyer
  • Location:
    Louisville, Kentucky
  • Practice Areas:
    Securities / Capital Markets Law Private Funds / Hedge Funds Law Banking and Finance Law Securities Regulation Corporate Governance Law Corporate Law
Lawyer
  • Location:
    Jackson, Mississippi
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    Denver, Colorado
  • Practice Areas:
    Corporate Law Private Funds / Hedge Funds Law Mutual Funds Law Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Securities Securities Regulation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Securities Regulation Criminal Defense: White-Collar Litigation - Securities
Lawyer
  • Location:
    Tampa, Florida
  • Practice Areas:
    Mergers and Acquisitions Law International Trade and Finance Law Securities / Capital Markets Law Corporate Law Securities Regulation Corporate Governance Law Leveraged Buyouts and Private Equity Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities Regulation Litigation - Securities
Lawyer
  • Location:
    Greenville, South Carolina
  • Practice Areas:
    Mergers and Acquisitions Law Financial Services Regulation Law Securities Regulation Litigation - Banking and Finance Securities / Capital Markets Law
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Securities Regulation Mergers and Acquisitions Law Corporate Law Securities / Capital Markets Law
Lawyer
  • Location:
    Tampa, Florida
  • Practice Areas:
    Corporate Compliance Law Securities Regulation Corporate Law Securities / Capital Markets Law Corporate Governance Law
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Securities Regulation Litigation - Securities Securities / Capital Markets Law
Lawyer
  • Location:
    Omaha, Nebraska
  • Practice Areas:
    Nonprofit / Charities Law Closely Held Companies and Family Businesses Law Securities Regulation Corporate Law Corporate Governance Law Tax Law Securities / Capital Markets Law Business Organizations (including LLCs and Partnerships) Trusts and Estates Mergers and Acquisitions Law
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Litigation - Securities Corporate Governance Law Securities Regulation
Lawyer
  • Location:
    Indianapolis, Indiana
  • Practice Areas:
    Securities / Capital Markets Law Corporate Law Securities Regulation
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation Health Care Law Corporate Governance Law Corporate Compliance Law
Lawyer
  • Location:
    Albuquerque, New Mexico
  • Practice Areas:
    Corporate Law Securities Regulation Public Finance Law Securities / Capital Markets Law
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Securities Regulation Securities / Capital Markets Law Health Care Law Mergers and Acquisitions Law
Lawyer
  • Location:
    Potomac, Maryland
  • Practice Areas:
    Litigation - Securities Securities Regulation
Lawyer
  • Location:
    Bridgewater, New Jersey
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation Mergers and Acquisitions Law Corporate Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Charlotte, North Carolina
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation Mergers and Acquisitions Law Leveraged Buyouts and Private Equity Law Corporate Law Corporate Governance Law
Lawyer
  • Location:
    Salt Lake City, Utah
  • Practice Areas:
    Corporate Law Securities Regulation Mergers and Acquisitions Law
Lawyer
  • Location:
    Phoenix, Arizona
  • Practice Areas:
    Securities / Capital Markets Law Mergers and Acquisitions Law Corporate Law Securities Regulation
Lawyer
  • Location:
    McLean, Virginia
  • Practice Areas:
    Corporate Law Securities Regulation
Lawyer
  • Location:
    West Palm Beach, Florida
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Securities Regulation Securities / Capital Markets Law Litigation - Securities
Lawyer
  • Location:
    Cincinnati, Ohio
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    Louisville, Kentucky
  • Practice Areas:
    Mergers and Acquisitions Law Securities / Capital Markets Law Corporate Compliance Law Banking and Finance Law Corporate Law Corporate Governance Law Securities Regulation
Lawyer
  • Location:
    Columbia, South Carolina
  • Practice Areas:
    Securities / Capital Markets Law Banking and Finance Law Securities Regulation Corporate Law Financial Services Regulation Law
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Securities Securities Regulation
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Private Funds / Hedge Funds Law Securities / Capital Markets Law Corporate Governance Law Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities Regulation Corporate Governance Law Securities / Capital Markets Law Corporate Compliance Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Securities Securities Regulation
Lawyer
  • Location:
    Omaha, Nebraska
  • Practice Areas:
    Securities Regulation Corporate Governance Law Securities / Capital Markets Law Mergers and Acquisitions Law
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    McLean, Virginia
  • Practice Areas:
    Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Greenwood Village, Colorado
  • Practice Areas:
    Corporate Law Corporate Governance Law Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Administrative / Regulatory Law Securities / Capital Markets Law Securities Regulation Derivatives and Futures Law
Lawyer
  • Location:
    Mobile, Alabama
  • Practice Areas:
    Timber Law Mergers and Acquisitions Law Securities Regulation International Mergers & Acquisitions Securities / Capital Markets Law Corporate Law
Lawyer
  • Location:
    Louisville, Kentucky
  • Practice Areas:
    International Mergers & Acquisitions Mergers and Acquisitions Law Securities / Capital Markets Law Securities Regulation Corporate Law Corporate Governance Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities Regulation Mutual Funds Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Corporate Governance Law Corporate Compliance Law Securities Regulation Bet-the-Company Litigation Securities / Capital Markets Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities Regulation Corporate Compliance Law Litigation - Securities
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Mergers and Acquisitions Law Securities / Capital Markets Law Corporate Law Securities Regulation
Lawyer
  • Location:
    Cleveland, Ohio
  • Practice Areas:
    Securities Regulation Litigation - Securities
Lawyer
  • Location:
    Cedar Rapids, Iowa
  • Practice Areas:
    Litigation - Securities Corporate Law Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Rochester, New York
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Cincinnati, Ohio
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    Fort Lauderdale, Florida
  • Practice Areas:
    Corporate Law Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Albuquerque, New Mexico
  • Practice Areas:
    Securities Regulation Public Finance Law Mergers and Acquisitions Law Corporate Law
Lawyer
  • Location:
    Jacksonville, Florida
  • Practice Areas:
    Mergers and Acquisitions Law Health Care Law Securities Regulation Corporate Law Business Organizations (including LLCs and Partnerships)
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Securities / Capital Markets Law Corporate Law Securities Regulation Mergers and Acquisitions Law
Lawyer
  • Location:
    Indianapolis, Indiana
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Corporate Governance Law Securities / Capital Markets Law Securities Regulation Securitization and Structured Finance Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Corporate Compliance Law Corporate Governance Law Securities Regulation
Lawyer
  • Location:
    Jacksonville, Florida
  • Practice Areas:
    Securities Regulation Litigation - Banking and Finance Litigation - Securities Personal Injury Litigation - Plaintiffs Product Liability Litigation - Defendants Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bankruptcy and Creditor Debtor Rights / Insolvency and Reorganization Law Commercial Litigation Litigation - Construction Litigation - Insurance
Lawyer
  • Location:
    New Orleans, Louisiana
  • Practice Areas:
    Corporate Law Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Des Moines, Iowa
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Securities Regulation
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Commercial Litigation Litigation - Securities Securities Regulation
Lawyer
  • Location:
    Palo Alto, California
  • Practice Areas:
    Corporate Law Securities Regulation Mergers and Acquisitions Law Securities / Capital Markets Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Corporate Law Securities Regulation Corporate Governance Law Securities / Capital Markets Law
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Mergers and Acquisitions Law Securities Regulation Corporate Law Securities / Capital Markets Law
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Securities Regulation Litigation - Securities Commercial Litigation
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation Mergers and Acquisitions Law Corporate Law Corporate Governance Law
Lawyer
  • Location:
    Jackson, Mississippi
  • Practice Areas:
    Corporate Law Securities Regulation Corporate Governance Law Public Finance Law Mergers and Acquisitions Law Corporate Compliance Law Securities / Capital Markets Law
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Securities Regulation Corporate Governance Law Litigation - Securities
Lawyer
  • Location:
    Memphis, Tennessee
  • Practice Areas:
    Commercial Litigation Litigation - Municipal Securities Regulation
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Banking and Finance Law Financial Services Regulation Law Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Baltimore, Maryland
  • Practice Areas:
    Securities / Capital Markets Law Commercial Litigation Securities Regulation Corporate Law Commercial Finance Law
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Raleigh, North Carolina
  • Practice Areas:
    Corporate Law Securities Regulation Mergers and Acquisitions Law
Lawyer
  • Location:
    Denver, Colorado
  • Practice Areas:
    Securities Regulation Real Estate Law Mergers and Acquisitions Law
Lawyer
  • Location:
    Tampa, Florida
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Corporate Governance Law Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Dallas, Texas Houston, Texas
  • Practice Areas:
    Securities / Capital Markets Law Mergers and Acquisitions Law Securities Regulation Litigation - Securities Corporate Law Litigation - Mergers and Acquisitions
Lawyer
  • Location:
    Cincinnati, Ohio
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Securities Corporate Governance Law Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Securities Securities Regulation
Lawyer
Alan R. Sachs was awarded  "Lawyer of the Year" in

Alan R. Sachs

Alan Richard Sachs, P.A.
  • Location:
    Towson, Maryland
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Manchester, New Hampshire
  • Practice Areas:
    Energy Law Securities Regulation Financial Services Regulation Law Mergers and Acquisitions Law Corporate Law Securities / Capital Markets Law
Lawyer
  • Location:
    Cleveland, Ohio
  • Practice Areas:
    Personal Injury Litigation - Defendants Securities Regulation
Lawyer
  • Location:
    Madison, Wisconsin
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    Westport, Connecticut
  • Practice Areas:
    Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Phoenix, Arizona
  • Practice Areas:
    Mergers and Acquisitions Law Securities Regulation Corporate Law Securities / Capital Markets Law
Lawyer
  • Location:
    Denver, Colorado
  • Practice Areas:
    Corporate Governance Law Securities Regulation Mergers and Acquisitions Law
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Mergers and Acquisitions Law Leveraged Buyouts and Private Equity Law Corporate Law Securities / Capital Markets Law Corporate Governance Law Securities Regulation
Lawyer
  • Location:
    Houston, Texas
  • Practice Areas:
    Corporate Law Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Mergers and Acquisitions Law Securities Regulation Corporate Law Securities / Capital Markets Law
Lawyer
  • Location:
    Austin, Texas
  • Practice Areas:
    Securities / Capital Markets Law Mergers and Acquisitions Law Venture Capital Law Securities Regulation Corporate Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Securities Securities Regulation
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Private Funds / Hedge Funds Law Venture Capital Law Corporate Law Securities Regulation Mergers and Acquisitions Law Securities / Capital Markets Law
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Corporate Compliance Law Securities / Capital Markets Law Securities Regulation Mergers and Acquisitions Law Corporate Law Corporate Governance Law
Lawyer
  • Location:
    New Orleans, Louisiana
  • Practice Areas:
    Securities / Capital Markets Law Corporate Law Securities Regulation International Trade and Finance Law
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Securities / Capital Markets Law Business Organizations (including LLCs and Partnerships) Securities Regulation Corporate Law Mergers and Acquisitions Law
Lawyer
  • Location:
    Charlotte, North Carolina
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation Corporate Governance Law
Lawyer
  • Location:
    Denver, Colorado
  • Practice Areas:
    Litigation - Securities Criminal Defense: White-Collar Securities Regulation

  • Location:
  • Practice Areas:

Practice Area Definition

Securities Regulation Definition

A securities regulation practice advises clients who are subject to federal securities laws - broker-dealers, investment advisers, banks, insurance companies, public companies, accounting firms, and institutional investors - on how to comply with those laws, as well as state securities laws, the rules of FINRA and the securities exchanges, and laws and rules related to ERISA, commodities, derivatives, insurance, and banking. Securities regulatory lawyers assist clients in registering new broker-dealers and investment advisers, and in launching investment funds. Public company clients need assistance in drafting periodic public disclosures, responding to SEC disclosure comments and preparing public and private offering documents and proxy statements. Broker-dealer and investment adviser clients request advice on designing and marketing new products and services and in implementing compliance programs.

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.

Sidley Austin LLP

Sidley Austin LLP logo

A securities regulation practice advises clients who are subject to federal securities laws - broker-dealers, investment advisers, banks, insurance companies, public companies, accounting firms, and institutional investors - on how to comply with those laws, as well as state securities laws, the rules of FINRA and the securities exchanges, and laws and rules related to ERISA, commodities, derivatives, insurance, and banking. Securities regulatory lawyers assist clients in registering new broker-dealers and investment advisers, and in launching investment funds. Public company clients need assistance in drafting periodic public disclosures, responding to SEC disclosure comments and preparing public and private offering documents and proxy statements. Broker-dealer and investment adviser clients request advice on designing and marketing new products and services and in implementing compliance programs.

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.