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Vault Law Resource Center

Securities / Capital Markets


Securities or Capital Markets attorneys help companies raise the money they need to operate by representing issuers and underwriters in securities transactions, including IPOs, stock offerings, and debt offerings in public markets. Securities attorneys also counsel clients on corporate governance and how to comply with securities regulations, including the ’33 Act, the ’34 Act, and Sarbanes-Oxley. Some practitioners fold securities law into a general corporate practice while others specialize in the area. Typical day-to-day work includes performing due diligence, drafting documents, interacting with the SEC, and negotiating offerings. Some securities lawyers advise emerging companies on stock and options plans for their employees. Securities attorneys are in demand for in-house roles, whether that is to shepherd a startup through the IPO process, to handle SEC reporting and compliance for a publicly traded company, or to work at an investment bank acting as the underwriter for debt and equity offerings. Securities attorneys are often in demand in compliance departments, and increasingly Chief Compliance Officers are former practicing securities attorneys.

Top Ranked Firms

Practice Area Q&A’s

Allen & Overy LLP

Derek Poon


Milson Yu & Darah Protas

Davis Polk & Wardwell LLP

Dan Gibbons

Mayer Brown LLP

Marla L. Matusic & Gonzalo D.V. Go III

Sullivan & Cromwell LLP

Alan Fishman

White & Case

Rafael Roberti

Jones Day

Rory Hood

Advice from Vault Law

Practice Area Insights: Securities/Capital Markets

Practice Area Insights: Securities/Capital Markets

By Vault Law Editors