Securities Law Career Guide

By Fred Dingledy
Revised May 2018

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.

Chambers Associate
Website affiliated with the Chambers USA directory. Easier to search for firms nationwide by practice area, including securities law. Includes articles describing what work in different practice areas is like, alternative careers. Includes helpful tips for job seekers as well.

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

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 Student Honors Program.


Journal and Website Articles

Carannante, Jerry, "10 Things to Know about Capital Markets and Corporate Governance Practice", Above the Law (May 24, 2016).
Attorney describes the type of work a laywer in the field of capital markets and corporate governance will encounter. He also discusses what life in the practice is like and the traits a good attorney in the field should have.

Chambers Associate. "Banking & Finance", "Capital Markets", and "Securities Litigation Overview" (last visited May 19, 2016).
These articles summarize the type of work normally performed in the banking/finance and capital markets, and securities litigation fields, as well as projections for the fields' future.

George Washington University Law School, Law Student's Guide to Careers in Financial Regulatory Compliance (2017) (opens a PDF).
This career guide describes what financial regulatory compliance is, who the typical employers are, how to get a job in the field.

Germaine, Carmen, "5 Ways to Kick-Start Your Securities Law Career", Law360 (May 17, 2016).
Securities law attorneys offer advice to law students and lawyers who would like to get into the field. Lexis ID+password required to access article.

Kane, Sally, "Securities Law Job - Legal Description", The Balance Careers (last updated Aug. 20, 2017).
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.

Pavlovic, Vlad, "10 Things to Know about Securities Litigation and Enforcement", Above the Law (Jul. 12, 2016).

Attorney describes the usual working day for a lawyer dealing in securities litigation and enforcement. He also talks about the type of work the field involves, the working atmosphere, and the qualities a good candidate for the practice should have.

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.

Periodicals

There are legal periodicals that cover the topic of securities law. You can access the following newsletters through the BNA Libraries and Newsletters page:
Securities Law Daily
Securities Regulation and Law Report

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
e-mail: businesslaw@americanbar.org
website: https://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, NW
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: info@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: https://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 20005-3875
phone: (202) 503-3300
website: https://www.nabl.org
Lawyers who provide legal advice and legal opinions with respect to state and local debt offerings. Website includes job bank.

Intercontinental Exchange (ICE)
5660 New Northside Drive NW
3rd Floor
Atlanta, GA 30328
phone: (770)-857-4700
website: https://www.theice.com/index
Owns the New York Stock Exchange and other securities exchanges worldwide. Website has a career opportunities page.

North American Securitites Administrators Association (NASAA)
750 First Street, NE, 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