Vault Law Resource Center

Securities / Capital Markets

Overview

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

Top Ranked Firms


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Practice Area Q&A’s

Cravath logoQ&A C. Daniel Haaren

C. Daniel Haaren

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Davis Polk firm logoDan Gibbons

Dan Gibbons

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Latham logo
Q&A Stelios G. Saffos
Q&A Claire Solimine

Stelios G. Saffos & Claire Solimine

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Sullivan & Cromwell firm logoQ&A Benjamin Kent

Benjamin Kent

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Cooley logo
Milson Yu
Darah Protas

Milson Yu & Darah Protas

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Mayer Brown firm logo
Q&A Marla L. Matusic
Q&A Gonzalo D.V. Go III

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

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Sullivan & Cromwell LLPAlan J Fishman headshot

Alan Fishman

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I’ve been working at S&C for 15 years, and in that time, I have lived in Frankfurt, London, and New York and worked extensively with each of our other offices in Asia, Australia, Europe, and the rest of the United States.

— Benjamin Kent , Sullivan & Cromwell LLP

Collaborating with various teams within the firm, such as our world-class banking, private credit, and M&A groups, to manage complex transactions and investments … highlights the increasing complexity of our practice and the need for seamless integration across different areas of expertise.

— Stelios G. Saffos , Latham & Watkins LLP

The most rewarding aspect of being a capital markets lawyer at Davis Polk is the opportunity to work on high-profile, complex transactions while learning about an ever-expanding list of companies across a broad range of industries. Engaging with major clients and being at the forefront of significant market activities provide a unique and intellectually stimulating experience.

— Dan Gibbons , Davis Polk & Wardwell LLP

Our attorneys get direct exposure to company founders, executives, and senior bankers—people who are business leaders with a vision and insight. … That kind of access is not something you would necessarily get otherwise and not something you should ever take for granted.

— C. Daniel Haaren , Cravath, Swaine & Moore LLP

Advice from Vault Law

Advice card Practice Area Insights: Securities/Capital Markets

Practice Area Insights: Securities/Capital Markets

By Vault Law Editors

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