Many specialties exist within the practice of securities law, such as investment management, securities arbitration, enforcement proceedings and others. Securities litigation and arbitration are a subset of litigation practice, which is addressed by another practice page. As a securities practitioner, you’ll likely be involved in multiple tasks and topics:

 

·         Researching securities issues regarding filings requirements and then drafting the securities filings to be submitted to the Securities and Exchange Commission.

 

·         Advising clients on how to stay in compliance with securities laws, including federal and state securities law, SEC rules and regulations, and securities exchange rules, e.g., NYSE or NASDAQ, and aiding in-house counsel drafting best practices.

 

·         Advising directors and officers on matters of liability, insurance, corporate responsibility, and compliance programs.

 

·         Researching news, corporate information and legal developments, business trends in a client’s industry to aid producing adequate full and fair disclosure about the company and its business.