A securities lawyer is an attorney that specializes in the often complex and changing laws and regulations that apply to financial investments. These specialists can provide significant benefits to you both in planning your investments as well as in recovering any losses from wrongdoing.
What are securities in law?
A security is an investment in a business. It can take the form of shares of stock, bonds, a package of loans or mortgages offered for sale by a financial institution or a financial instrument representing investment in a company or an international project.
What does a securitization lawyer do?
DR: Associates on the securitization team advise clients on regulations relating to securitization transactions, which include US risk retention rules, the Volcker rule and Regulation AB. Additionally, associates help draft transaction documents for companies that are looking to securitize their assets.
What is the purpose of securities law?
The Securities Act serves the dual purpose of ensuring that issuers selling securities to the public disclose material information, and that any securities transactions are not based on fraudulent information or practices.
What do securities lawyers do Canada?
Advising issuers and underwriters through a wide range of equity and debt financings, including start-up financing, mezzanine financing, public offerings and private placements. Structuring of corporate finance transactions. Advising on securities regulatory requirements for public offerings and private placements.
Are derivatives legal?
Fourth, derivatives traditionally are regulated not through heavy-handed bans on trading, but through common-law contract rules that protect and enforce derivatives that are used for hedging purposes, while declaring purely speculative derivative contracts to be legally unenforceable wagers.Jul 21, 2009
What can you securitize?
TYPES OF ASSETS THAT CAN BE SECURITIZED
The most common asset types include corporate receivables, credit card receivables, auto loans and leases, mortgages, student loans and equipment loans and leases. Generally, any diverse pool of accounts receivable can be securitized.
The most common asset types include corporate receivables, credit card receivables, auto loans and leases, mortgages, student loans and equipment loans and leases. Generally, any diverse pool of accounts receivable can be securitized.
Who oversees the SEC?
the President of the United States
The SEC has five Commissioners appointed by the President of the United States, with the advice and consent of the Senate. The President designates one of the five Commissioners as chair of the Commission; the current chair is Gary Gensler.
Do securities laws apply to private companies?
Say It Again: Private Companies Are Subject to the Federal Securities Laws. It is a point I have made before but it is worth saying again – private companies are not immune from scrutiny under the federal securities laws.Apr 15, 2019
Does the SEC still exist today?
Securities and Exchange Commission (SEC)
In order to restore public and investor confidence in the stock market, the SEC was formed to protect investors through the regulation and enforcement of new securities laws that deterred stock manipulation. The agency still carries out this mission today.
In order to restore public and investor confidence in the stock market, the SEC was formed to protect investors through the regulation and enforcement of new securities laws that deterred stock manipulation. The agency still carries out this mission today.
What is a security business law?
Securities law (or Capital Markets law) is the group of laws and regulations that govern the issuance of securities. A security is a financial instrument usually designed to raise money for a business from investors in the business.
What are securities in finance?
Securities are fungible and tradable financial instruments used to raise capital in public and private markets. There are primarily three types of securities: equity—which provides ownership rights to holders; debt—essentially loans repaid with periodic payments; and hybrids—which combine aspects of debt and equity.
What is securities law?
Securities Law. A security is an investment in a business. It can take the form of shares of stock, bonds, a package of loans or mortgages offered for sale by a financial institution or a financial instrument representing investment in a company or an international project.
What is public offering?
A public offering is when the security is offered to the public – usually in the context of a bank acting as an underwriter and purchasing the entire security issue for a specified price for resale to the public. This requires a letter of agreement and the filing of a disclosure statement with the SEC.
Securities Transactions
Axis assists clients with a wide variety of securities transactions. The most common types of securities transactions for business clients include the following:
Securities Compliance
Federal and state law generally requires ongoing compliance for businesses with securities issued to private or public investors. These can include working with your business to prepare registration statements and reporting obligations, including but not limited to the following:
Tax Law and Banking Law Compliance
We assist clients seek compliance with the myriad of tax, regulatory, and compliance laws that accompany securities filings, including but not limited to:
Intellectual Property & Licensing
We assist Cryptocurrency clients with a wide variety of intellectual property and licensing matters, ranging across copyright, trademark, trade secret, licensing, confidentiality, and related matters:
Securities Litigation
Axis has represented a wide variety of client with all types of disputes, controversies, and litigated matters.
Shareholder Rights
Axis also regularly represents shareholders, members, and other owners of companies in legal matters involving shareholder rights. These can include, but are not limited to:
Our Methodology
Recognition by Best Lawyers is based entirely on peer review. Our methodology is designed to capture, as accurately as possible, the consensus opinion of leading lawyers about the professional abilities of their colleagues within the same geographical area and legal practice area.
Practice Area Definition
A securities regulation practice advises clients who are subject to federal securities laws - broker-dealers, investment advisers, banks, insurance companies, public companies, accounting firms, and institutional investors - on how to comply with those laws, as well as state securities laws, the rules of FINRA and the securities exchanges, and laws and rules related to ERISA, commodities, derivatives, insurance, and banking.
Public Offerings
We represent many public companies and companies seeking to access public markets in initial public offerings (IPOs) and/or the increasingly more common structures, alternative public offerings (APOs), direct public offerings (DPOs), special purpose acquisition companies (SPACs), as well as debt or hybrid securities secondary offerings of equity.
REITs and Real Estate Securities
The Securities Law Practice Group also has substantial experience with regard to real estate securities, real estate investment trusts and real estate-based securities. Duane Morris attorneys advise clients involved in listed and non-listed real estate securities.
Transactions
The Securities Law Practice Group performs a wide range of complex corporate transactions, including mergers and acquisitions, hostile and friendly tender offers, going private transactions, the conversion of mutual insurance companies, the formation of downstream holding companies for insurance companies, financial services securities matters, bank holding company matters and the conversion of savings and loan associations.
Corporate Compliance, Regulatory Matters and Governance
In the U.S., we assist in the preparation of periodic SEC reports, filings and advice in connection with insider transactions (including Section 16 and Section 10 (b) and Rule 10b-5), Regulation FD disclosure obligations, option and other equity-based compensation plans, spin-offs, going private transactions, tender offers, proxy contests, corporate restructurings, change in control and other transactional (M&A) events and assisting Audit, Compensation and Nomination Committees in complying with the requirements of the SEC and national securities exchanges.
For More Information
For additional information, please contact Brian P. Kerwin or any of the practice members referenced in the Attorney Listing.
Why is it important to have a securities lawyer?
Working on behalf of corporations, private entities and for the government, securities lawyers play an important role in ensuring that business is conducted with a level playing field. Securities lawyers have the opportunity to do their part to make business investments fair, transparent and beneficial to all involved.
What is securities law?
Securities law dictates what a corporation has to do in order to offer their investment to the public. The laws exist in order to make sure that public investments are fair to everyone who might invest in the company.
What is capital market law?
What is Securities Law / Capital Markets Law? Securities law (or Capital Markets law) is the group of laws and regulations that govern the issuance of securities. A security is a financial instrument usually designed to raise money for a business from investors in the business. Securities law dictates what a corporation has to do in order ...
What is regulatory securities law?
Regulatory securities law. Regulatory securities law is helping a client comply with the myriad of state and federal regulations that apply to security offerings. Both before and after a business is offered to the public for investment, the business must comply with regulatory filings and mandatory information disclosures.
What is a security in business?
A security is a financial investment. Usually, a corporation offers a security in order to raise capital for their business. A stock is an example of a security. Bonds, mortgages and loan packages may also be securities. Securities are a way of financing a business enterprise or making an investment in a business.
What is the Securities Exchange Act of 1933?
– The Securities Exchange Act of 1933 requires corporations that sell investments to the public to register the investments with the SEC. The Act also calls for mandatory disclosures by the corporation that are meant to help consumers decide if they want to choose the investment.
What are blue sky laws?
– Often called Blue Sky Laws, many states don’t leave it to the federal government to regulate securities transactions. Existing state laws aim to deter fraud. Many state Blue Sky Laws require broker and dealer registration. They may also call for civil liability for law violations. Many states have adopted all or portions of the Uniform Securities Act.
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