White Collar Law

Legal Solutions For The Financial Sector

Legal 101:Stocks & Securities

The NYC Legal Guide For Stocks, Securities, SEC Compliance, Seed Financing, Angel Financing, Venture Capital, Debt Financing, Private Placement Memoranda, Crowd Funding &Accredited Investor Documentation Law. Do not worry if one of the aforementioned legal issues is effecting your business and you have no clue where to start. Even so called experts in business law know very little about these complex legal categories. This is why we created a legal guide that will provide you with all the information you will ever need about these topics. So stay tuned for informative posts that will help all startups and entrepreneurs alike. In addition, we will also provide you with references for the best lawyers in all of the five boroughs of NYC including Manhattan, Queens, Brooklyn, Bronx and Staten Island. Follow are guide today and stay out of legal trouble while growing firm. 

What A Stocks & Securities Lawyer Does:

Stocks and Securities:

A security is an investment in a business that often takes the form as stocks, bonds, or other financial instruments. It allows the company to raise funds by selling off shares of the company. The securities market is a massive industry that people invest in for the short and long term. Securities law is the legal practice dealing within this industry. It can be broken down into 3 categories; transactional, regulatory, and litigation. The law firms that work in these fields help to ensure that all activity within the industry is legal by monitoring for fraud and manipulation.


In the transactional field of securities law the lawyer’s responsibility is to research and monitor the activity on behalf of their clients. The initial stages of this means that the stocks and securities lawyer determines if the transaction does in fact include securities that must be registered as such. Negotiating with third parties is the next stage. There are brokerages, investors, underwriters that all participate in this field, and the lawyer must communicate with them and help determine the tax liability of each financial product. Lastly, when these transactions take place it requires agreements between each party, so the lawyer can draw up new contract and evaluate existing contracts to determine that their client is protected.


Regulation of the securities industry is monitored by the state and federal governments. Once the attorney has determined what type of security is relevant, they must ensure that it follows the guidelines set up by the governing body. This means staying up to date with the respective laws and institutions. Counseling their clients at all stages is a major responsibility to help determine if and when their client should release securities, on which markets and how to do it. Also for the investors the lawyers provide counseling if they believe they investments were mishandled or fraudulent.


Litigation is a major aspect of securities law. The securities legal specialists spend time investing and gathering evidence to support their client. Many brokerage investments require claims go through arbitration and not the court system so the lawyer must constantly be knowledgeable of their financial products involved with their clients. Like all litigation, they lawyer must understand the industry from top to bottom, and all the parties involved. This means they gather documents on the type and price of securities, the corporations involved, and the role of each individual. All fields within securities law require lawyers to make sure all activity is safe and legal. They contribute to the functioning markets that allow the interested individuals to complete transactions that are within the regulatory specifications and provide constant counsel and litigation when needed.

Stocks, Securities, SEC & Seed Financing Law NYC

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