Securities Law

A security is simply a manifestation of an investment in an enterprise. It may be a bond,
a share of common stock, a note, a limited partnership interest, interest in real estate or any
other tangible or intangible asset imaginable. The practice is primarily transactional work,
business counseling, some litigation relating to investments, and the raising of capital for the
enterprise. Securities lawyers are found in private law firms as well as in-house corporate
counsel. Some government entities also hire securities lawyers, the largest of course, being the
Securities and Exchange Commission. Day-to-day work can address those issues associated
with financing transactions, public offerings, private placements, blue sky commissions
(registration requirements that vary from state to state), reporting requirements, and SEC
compliance. The client base can be diverse and dynamic including private and public
businesses, venture capitalists, investment analysts, bankers, and securities brokerage houses.

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