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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


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Practice Area Q&A’s

Cooley

Milson Yu & Darah Protas

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Davis Polk & Wardwell LLP

Dan Gibbons

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Mayer Brown LLP

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

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Sullivan & Cromwell LLP

Alan Fishman

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White & Case

Rafael Roberti

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Jones Day

Rory Hood

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"Gaining experience in capital markets and general corporate matters provides skills that can be leveraged in multiple contexts. In addition to many lawyers who have become my partners at Jones Day, I have seen lawyers use these skills to go in-house to clients, become investment bankers, start businesses of their own, and do many other things."

— Rory Hood , Jones Day

"Capital markets is a choose-your-own-adventure book. … During the first two years, associates are involved in all types of … deals and generally learning skills that will provide a solid foundation and serve them well in any of the specialties. As associates progress, they are generally drawn to particular types of deals and begin to specialize."

— Marla L. Matusic , Mayer Brown LLP

"The best part of capital markets is the variety of work. There are many specialties within capital markets, including … equity, debt, structured finance, derivatives, funds, and public company advisory. The way the practice is structured allows associates to try a variety of these
specialties and determine which aspects they prefer. …"

— Rafael Roberti , White & Case

"I also enjoy the cross-border nature of my practice given A&O’s large global presence.
This provides the opportunity to work on deals in many jurisdictions and befriend clients and colleagues all over the world. This practice group is also very friendly and collaborative, and associates have the opportunity to take on important roles (both on-deal and off-deal) early on in their careers."

— Derek Poon , Allen & Overy LLP

Advice from Vault Law

Practice Area Insights: Securities/Capital Markets

Practice Area Insights: Securities/Capital Markets

By Vault Law Editors

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