William and Mary Law School

Securities Law Career Guide

By Fred Dingledy
Revised March 2013

New York Stock Exchange

Books & Narratives

Securities Law and Practice Deskbook, 6th ed., by Gary M. Brown, New York: Practising Law Institute, 2012.
This book contains a chapter titled "Business Context of Securities Act Registration" that includes a section describing the functions a securities law firm usually performs.
KF1440 S62


Databases & Websites

WESTLAW: West Legal Directory
You can search this directory by practice area and state.

martindale.com - Securities Law Firms.
Martindale.com has listings for attorneys, firms and corporate legal departments located in the United States. Also has job listing search.

Securities and Exchange Commission, Employment with the SEC
Lists current job openings at the SEC - also has a page with information on the SEC's law student programs.


Journal Articles

Gerson, Donna, "SEC lawyer talks internships", 38(2) Student Lawyer 28 (Oct. 2009).

Brief interview with a SEC attorney discussing his work with the SEC and his previous experiences; also includes a couple of tips to law students.

Kane, Sally, "Securities Law" , About.com (last visited March 25, 2013).
Briefly describes the type of work an attorney practicing securities law might encounter.

Karmel, Roberta S., "Life at the center: reflections on my career", 18(3) Business Law Today 49 (Jan-Feb 2009).
Former attorney, SEC Commissioner, and law professor talks about her career path.

Longstreth, Andrew, "Nouveau Niche", 25 American Lawyer 76 (2003).

Describes the circumstances leading to the rapid rise of a Philadelphia securities class action firm. Available on Lexis.

Rashkover, Barry W., "Reforming Corporations through Prosecution: Perspectives from an SEC Enforcement Lawyer", 89 Cornell Law Review 535 (January, 2004).
Describes the different civil and criminal enforcement techniques the SEC uses. Available on Lexis and Westlaw.


Organizations

The following organizations are active or maintain an interest in securities law. They offer membership opportunities, information on the industry, and possible employment opportunities. Most of them sponsor seminars or conferences on relevant topics.

American Bar Association Section of Business Law
321 North Clark Street
Chicago, IL 60654
phone: (312)-988-5588
fax: (312)-988-5578
e-mail: businesslaw@americanbar.org
website: http://www.americanbar.org/groups/business_law.html
Association for attorneys and law students. Offers law students articles and information regarding careers in securities law and business law.

Financial Industry Regulatory Authority
1735 K Street
Washington, DC 20006
phone: (301) 590-6500
website: http://www.finra.org
Formerly known as the National Association of Securities Dealers (NASD), an association for and regulator of brokers and dealers. Provides education to industry professionals and investors. Website also has a career center with job listings and information on internships.

International Organization of Securities Commissions
General Secretariat
International Organization of Securities Commissions (IOSCO)
C/ Oquendo 12
28006 Madrid
SPAIN
phone: 011-(34) 91 417 55 49
e-mail: mail@iosco.org
website: http://www.iosco.org
Promotes a united effort to establish high standards of regulation and the exchange of information to assist in the development of domestic markets.

NASDAQ
Corporate Headquarters:
One Liberty Plaza
165 Broadway
New York, NY 10006
Phone: (212)-401-8700
website: http://www.nasdaq.com
Facilitates a fair and efficient securities market. Website has a career center with job listings and related news.

National Association of Bond Lawyers
601 Thirteenth St., NW, Ste. 800 South
Washington, DC 20005
phone: (202) 503-3300
fax: (202) 637-0217
website: http://www.nabl.org
Lawyers who provide legal advice and legal opinions with respect to state and local debt offerings. Website includes job bank.

NYSE  Euronext
11 Wall Street
New York, NY 10005
phone: (212)-656-3000
website: http://corporate.nyx.com
Provides self-regulated marketplace for the trading of financial instruments. Website has a career opportunities page for people considering working for the New York Stock Exchange.

North American Securitites Administrators Association (NASAA)
750 First Street, N.E., Suite 1140
Washington, D.C. 20002
phone: (202)-737-0900
website: http://www.nasaa.org
Association for securities administrators who are responsible for efficient capital formation and investor protection. Site contains an employment opportunities page, along with model rules, briefs, proposals, statements of policy, and a State Representative List of NASAA Members.

Photo:  Associated Press