What Kind of Cases Does a Corporate Securities Attorney Handle?

There are a myriad of laws within the business world that companies are bound to, ensuring that their operations are within a fair and transparent environment. One of the most important ones is corporate securities law. Corporate securities attorneys are lawyers who have specialized in ensuring that businesses do not do anything amiss in respect to those laws. 

The work of these attorneys is very important to every company that would wish to handle their finances legally and in the right way. They help companies wend their way through the maze of financial regulation. It is a responsibility for these attorneys to ensure that the business follows the law in the case of issuing stocks, bonds, and other financial instruments. They essentially help the company grow and protect people who invest in the company.

Key Responsibilities of a Corporate Securities Attorney

As we have briefly shown you, the corporate securities attorney shoulders quite a number of very important responsibilities. One of their key functions is that they advise companies on the way to be in compliance with the laws of the federal and state governments as they raise capital. Be it an embryo company or the established one on the threshold of expansion, funds need to be injected for growth. And when those funds are raised through either public offerings or private investments, it definitely calls for the services of a corporate securities attorney. These lawyers also prepare documents as and when needed for the transactions of securities. This may involve drafting prospectuses—essentially a kind of document that elaborates on the financial health of a company and the risks entailed for those who may want to invest in it.

They also help with statements of registration and other filings that have to be submitted to the financial authorities, like the Security Exchange Commission (SEC).

Common Cases Handled by Corporate Securities Attorneys

Corporate securities attorneys are involved in various types of cases. The bulk of their work is more often than not on initial public offerings (IPOs), whereby a company sells shares to the public for the first time. This moment is very special for each company, since it includes so many legal requirements and results in big impacts for the future of a given company.

In addition, however, they advise on private equity deals and venture capital investments, where they help negotiate and finalize agreements between companies and investors. Another broad area is mergers and acquisitions, where one company buys another. Corporate securities attorneys ensure that the transaction is done according to all legal standards, including the handling of the securities of both firms involved duly.

Yet another very important area with these lawyers is compliance. They continue to monitor the activities of such companies regularly to see that, after the companies start trading their securities, operations are still in conformity to legal standards. This includes ongoing reporting to regulatory bodies and advising on corporate governance issues.


The role of a corporate securities attorney is of very great importance to any business. They help ensure that companies raise finances within the legal frameworks and always work within the law, hence safeguarding the interest of the business and its investors.

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