Best Lawyers for Securities Regulation in America

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Lawyer
  • Location:
    New Orleans, Mississippi Ridgeland, Mississippi
  • Practice Areas:
    Litigation - Securities Corporate Law Mergers and Acquisitions Law Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Salt Lake City, Utah
  • Practice Areas:
    Securities / Capital Markets Law Private Funds / Hedge Funds Law Venture Capital Law Securities Regulation
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Securities Regulation Litigation - Banking and Finance
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Corporate Law Securities Regulation Mergers and Acquisitions Law Leveraged Buyouts and Private Equity Law
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Mergers and Acquisitions Law Leveraged Buyouts and Private Equity Law Securities / Capital Markets Law International Mergers & Acquisitions Corporate Law Securities Regulation Corporate Governance Law
Lawyer
  • Location:
    Tampa, Florida
  • Practice Areas:
    Corporate Law Corporate Governance Law International Trade and Finance Law Securities / Capital Markets Law Mergers and Acquisitions Law Securities Regulation
Lawyer
  • Location:
    Houston, Texas
  • Practice Areas:
    Mergers and Acquisitions Law Leveraged Buyouts and Private Equity Law Corporate Law Securities Regulation Corporate Governance Law
Lawyer
  • Location:
    Houston, Texas
  • Practice Areas:
    Corporate Governance Law Administrative / Regulatory Law Securities Regulation
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Mergers and Acquisitions Law Leveraged Buyouts and Private Equity Law Securities / Capital Markets Law Corporate Law Securities Regulation
Lawyer
  • Location:
    Little Rock, Arkansas
  • Practice Areas:
    Corporate Law Securities Regulation Securities / Capital Markets Law Mergers and Acquisitions Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities Regulation Administrative / Regulatory Law Litigation - Securities
Lawyer
  • Location:
    Phoenix, Arizona
  • Practice Areas:
    Securities / Capital Markets Law Corporate Law Venture Capital Law Corporate Governance Law Mergers and Acquisitions Law Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Private Funds / Hedge Funds Law Mutual Funds Law Securities / Capital Markets Law Corporate Law Securities Regulation
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Securities / Capital Markets Law Corporate Law Securities Regulation Corporate Governance Law Mergers and Acquisitions Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Securities Securities Regulation
Lawyer
  • Location:
    Little Rock, Arkansas
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation Mergers and Acquisitions Law Corporate Law
Lawyer
  • Location:
    Memphis, Tennessee
  • Practice Areas:
    Securities Regulation Corporate Governance Law Mergers and Acquisitions Law Corporate Law Securities / Capital Markets Law Leveraged Buyouts and Private Equity Law Corporate Compliance Law Private Funds / Hedge Funds Law
Lawyer
  • Location:
    Columbia, South Carolina
  • Practice Areas:
    Securities Regulation Securities / Capital Markets Law Corporate Compliance Law Corporate Law Corporate Governance Law
Lawyer
  • Location:
    Los Angeles, California
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Columbus, Ohio
  • Practice Areas:
    Litigation - Securities Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Tax Law Securities Regulation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Securities Regulation Litigation - Securities
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities Regulation Litigation - Securities
Lawyer
  • Location:
    San Francisco, California
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    Denver, Colorado
  • Practice Areas:
    Securities / Capital Markets Law Corporate Governance Law Securities Regulation
Lawyer
  • Location:
    Tampa, Florida
  • Practice Areas:
    Corporate Law Securities Regulation Securities / Capital Markets Law Mergers and Acquisitions Law Banking and Finance Law
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Securities Regulation Litigation - Securities
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Banking and Finance Law Securities Regulation Securities / Capital Markets Law Financial Services Regulation Law Corporate Compliance Law
Lawyer
  • Location:
    Winston-Salem, North Carolina
  • Practice Areas:
    Corporate Law Corporate Governance Law Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Burlington, Vermont
  • Practice Areas:
    Securities Regulation Securities / Capital Markets Law Mergers and Acquisitions Law Corporate Law
Lawyer
Matthew P. Feeney was awarded  "Lawyer of the Year" in

Matthew P. Feeney

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

David Foltyn

Honigman Miller Schwartz and Cohn LLP
  • Location:
    Detroit, Michigan
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation Corporate Compliance Law Mergers and Acquisitions Law Corporate Law Corporate Governance Law Leveraged Buyouts and Private Equity Law
Lawyer
  • Location:
    Red Bank, New Jersey
  • Practice Areas:
    Securities / Capital Markets Law Litigation - Securities Securities Regulation Litigation - Mergers and Acquisitions Corporate Law Mergers and Acquisitions Law
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Securities / Capital Markets Law Financial Services Regulation Law Corporate Law Securities Regulation Banking and Finance Law
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Securities / Capital Markets Law Corporate Law Securities Regulation Banking and Finance Law
Lawyer
  • Location:
    Columbia, South Carolina
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    New Orleans, Louisiana
  • Practice Areas:
    Corporate Law Mergers and Acquisitions Law Securities / Capital Markets Law Securities Regulation Venture Capital Law
Lawyer
  • Location:
    Cincinnati, Ohio
  • Practice Areas:
    Securities / Capital Markets Law International Mergers & Acquisitions Corporate Law Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Corporate Law Corporate Governance Law Securities Regulation Mergers and Acquisitions Law
Lawyer
  • Location:
    Pittsburgh, Pennsylvania
  • Practice Areas:
    Corporate Law Mergers and Acquisitions Law Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Louisville, Kentucky
  • Practice Areas:
    Corporate Governance Law Securities Regulation Private Funds / Hedge Funds Law Banking and Finance Law Corporate Law Securities / Capital Markets Law
Lawyer
  • Location:
    Jackson, Mississippi
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    Denver, Colorado
  • Practice Areas:
    Securities Regulation Private Funds / Hedge Funds Law Securities / Capital Markets Law Mutual Funds Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Securities Securities Regulation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Criminal Defense: White-Collar Securities Regulation Litigation - Securities
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Corporate Governance Law Securities Regulation Litigation - Securities Corporate Compliance Law
Lawyer
  • Location:
    Tampa, Florida
  • Practice Areas:
    Mergers and Acquisitions Law International Trade and Finance Law Corporate Law Securities Regulation Corporate Governance Law Leveraged Buyouts and Private Equity Law Securities / Capital Markets Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities Regulation Litigation - Securities
Lawyer
  • Location:
    Greenville, South Carolina
  • Practice Areas:
    Mergers and Acquisitions Law Securities Regulation Litigation - Banking and Finance Financial Services Regulation Law Securities / Capital Markets Law
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Corporate Law Mergers and Acquisitions Law Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Tampa, Florida
  • Practice Areas:
    Securities Regulation Corporate Compliance Law Corporate Law Securities / Capital Markets Law Corporate Governance Law
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Litigation - Securities Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Corporate Governance Law Securities Regulation Litigation - Securities
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:
    Public Finance Law Corporate Law Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation Health Care Law Mergers and Acquisitions Law
Lawyer
  • Location:
    Potomac, Maryland
  • Practice Areas:
    Securities Regulation Litigation - Securities
Lawyer
  • Location:
    Bridgewater, New Jersey
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Corporate Law Securities Regulation Securities / Capital Markets Law Mergers and Acquisitions Law
Lawyer
  • Location:
    Raleigh, North Carolina
  • Practice Areas:
    Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Charlotte, North Carolina
  • Practice Areas:
    Leveraged Buyouts and Private Equity Law Securities Regulation Corporate Law Corporate Governance Law Mergers and Acquisitions Law Securities / Capital Markets Law
Lawyer
  • Location:
    Phoenix, Arizona
  • Practice Areas:
    Corporate Law Securities Regulation Securities / Capital Markets Law Mergers and Acquisitions Law
Lawyer
  • Location:
    McLean, Virginia
  • Practice Areas:
    Corporate Law Securities Regulation
Lawyer
  • Location:
    West Palm Beach, Florida
  • Practice Areas:
    Securities / Capital Markets Law Commercial Litigation Securities Regulation Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Cincinnati, Ohio
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    Columbia, South Carolina
  • Practice Areas:
    Financial Services Regulation Law Corporate Law Banking and Finance Law Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Louisville, Kentucky
  • Practice Areas:
    Securities / Capital Markets Law Corporate Governance Law Mergers and Acquisitions Law Corporate Compliance Law Banking and Finance Law Corporate Law Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Securities Securities Regulation
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Mergers and Acquisitions Law Private Funds / Hedge Funds Law Securities / Capital Markets Law Corporate Governance Law Securities Regulation Corporate Law
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:
    Securities Regulation Litigation - Securities
Lawyer
  • Location:
    Omaha, Nebraska
  • Practice Areas:
    Mergers and Acquisitions Law Securities Regulation Corporate Governance Law Securities / Capital Markets Law
Lawyer
  • Location:
    Tampa, Florida
  • Practice Areas:
    Corporate Law Securities / Capital Markets Law Securities Regulation Corporate Governance Law
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    McLean, Virginia
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation
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:
    Securities / Capital Markets Law Securities Regulation Administrative / Regulatory Law Derivatives and Futures Law
Lawyer
  • Location:
    Mobile, Alabama
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Law Securities Regulation Timber Law Securities / Capital Markets Law International Mergers & Acquisitions
Lawyer
  • Location:
    Louisville, Kentucky
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation International Mergers & Acquisitions Mergers and Acquisitions Law 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:
    Securities / Capital Markets Law Corporate Governance Law Corporate Compliance Law Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Corporate Compliance Law Litigation - Securities Securities Regulation
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Mergers and Acquisitions Law Securities Regulation Securities / Capital Markets Law Corporate Law
Lawyer
  • Location:
    Cleveland, Ohio
  • Practice Areas:
    Litigation - Securities Securities Regulation
Lawyer
  • Location:
    Cedar Rapids, Iowa
  • Practice Areas:
    Corporate Law Litigation - Securities Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Private Funds / Hedge Funds Law Securities Regulation Information Technology Law Securities / Capital Markets Law Corporate Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Securities Securities Regulation
Lawyer
  • Location:
    Rochester, New York
  • Practice Areas:
    Mergers and Acquisitions Law Securities Regulation Corporate Law Securities / Capital Markets Law
Lawyer
  • Location:
    Cincinnati, Ohio
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation Banking and Finance Law
Lawyer
  • Location:
    Fort Lauderdale, Florida
  • Practice Areas:
    Corporate Law Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Albuquerque, New Mexico
  • Practice Areas:
    Public Finance Law Securities Regulation Corporate Law Mergers and Acquisitions Law
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Securities / Capital Markets Law Mergers and Acquisitions Law Corporate Law Securities Regulation
Lawyer
  • Location:
    Jacksonville, Florida
  • Practice Areas:
    Health Care Law Securities Regulation Mergers and Acquisitions Law Corporate Law Business Organizations (including LLCs and Partnerships)
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Corporate Governance Law Corporate Compliance Law Securities Regulation
Lawyer
  • Location:
    Glen Allen, Virginia
  • Practice Areas:
    Corporate Law Securities Regulation Administrative / Regulatory Law
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:
    Litigation - Securities Securities Regulation Commercial Litigation
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation Leveraged Buyouts and Private Equity Law Private Funds / Hedge Funds Law Litigation - Mergers and Acquisitions Litigation - Securities Mergers and Acquisitions Law Corporate Law
Lawyer
  • Location:
    Palo Alto, California
  • Practice Areas:
    Mergers and Acquisitions Law Securities / Capital Markets Law Corporate Law Securities Regulation
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:
    Houston, Texas
  • Practice Areas:
    Corporate Law Mergers and Acquisitions Law Corporate Governance Law Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Litigation - Securities Commercial Litigation Securities Regulation
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation Corporate Law Mergers and Acquisitions Law Corporate Governance Law
Lawyer
  • Location:
    Jackson, Mississippi
  • Practice Areas:
    Public Finance Law Corporate Law Securities Regulation Corporate Governance Law Securities / Capital Markets Law Mergers and Acquisitions Law Corporate Compliance Law
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Securities Securities Regulation Corporate Governance Law
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Securities Regulation Securities / Capital Markets Law Financial Services Regulation Law Banking and Finance Law
Lawyer
  • Location:
    Baltimore, Maryland
  • Practice Areas:
    Commercial Litigation Securities Regulation Securities / Capital Markets Law Corporate Law
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Mergers and Acquisitions Law Securities / Capital Markets Law Corporate Law Securities Regulation
Lawyer
  • Location:
    Denver, Colorado
  • Practice Areas:
    Real Estate Law Securities Regulation
Lawyer
  • Location:
    Tampa, Florida
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Governance Law Corporate Law Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Corporate Law Securities / Capital Markets Law Securities Regulation Litigation - Mergers and Acquisitions Mergers and Acquisitions Law Litigation - Securities
Lawyer
  • Location:
    Cincinnati, Ohio
  • Practice Areas:
    Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Securities Corporate Governance Law Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities / Capital Markets Law Corporate 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:
    Mergers and Acquisitions Law Corporate Law Energy Law Securities Regulation Financial Services Regulation Law Securities / Capital Markets Law
Lawyer
  • Location:
    Cleveland, Ohio
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    Madison, Wisconsin
  • Practice Areas:
    Securities Regulation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities Regulation Litigation - Securities
Lawyer
  • Location:
    Los Angeles, California
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Westport, Connecticut
  • Practice Areas:
    Securities Regulation Securities / Capital Markets Law
Lawyer
  • Location:
    Phoenix, Arizona
  • Practice Areas:
    Corporate Law Securities / Capital Markets Law Mergers and Acquisitions Law Securities Regulation
Lawyer
  • Location:
    Denver, Colorado
  • Practice Areas:
    Mergers and Acquisitions Law Corporate Governance Law Securities Regulation
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Corporate Law Securities / Capital Markets Law Corporate Governance Law Mergers and Acquisitions Law Leveraged Buyouts and Private Equity 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 Corporate Law Securities / Capital Markets Law Securities Regulation
Lawyer
  • Location:
    Austin, Texas
  • Practice Areas:
    Securities / Capital Markets Law Securities Regulation Venture Capital Law Mergers and Acquisitions Law 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 Corporate Law Securities Regulation Venture Capital Law Mergers and Acquisitions Law Securities / Capital Markets Law
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Securities / Capital Markets Law Corporate Compliance Law Securities Regulation Corporate Law Corporate Governance Law Mergers and Acquisitions Law
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Corporate Law Securities Regulation Corporate Compliance Law Securities / Capital Markets Law Corporate Governance Law
Lawyer
  • Location:
    New Orleans, Louisiana
  • Practice Areas:
    International Trade and Finance Law Securities / Capital Markets Law Corporate Law Securities Regulation
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:
    Securities Regulation Litigation - Securities Criminal Defense: White-Collar

  • 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.