Securities & Prime Brokerage Lawyers

Securities lawyers help companies, financial institutions, and investors navigate the complex legal framework governing the issuance, trading, and regulation of securities. These attorneys counsel clients on a wide range of capital markets transactions including initial public offerings (IPOs), private placements, debt offerings, equity financings, and secondary offerings. They draft and negotiate securities purchase agreements, underwriting agreements, registration statements, and private placement memoranda while ensuring compliance with federal and state securities laws administered by the Securities and Exchange Commission (SEC) and state regulators. Securities lawyers also advise on disclosure obligations, corporate governance matters, insider trading policies, and ongoing reporting requirements for public companies under the Securities Exchange Act.

These legal professionals provide essential guidance on regulatory compliance, risk management, and enforcement matters across the securities industry. They help broker-dealers, investment banks, and trading platforms comply with FINRA rules and SEC regulations, counsel on market structure issues, and advise on the development of new financial products and trading technologies. When regulatory examinations, investigations, or enforcement actions arise, securities lawyers develop defense strategies, manage communications with regulators, and work to resolve matters efficiently while protecting their clients' interests. They also handle securities litigation, arbitration proceedings, and disputes involving allegations of fraud, misrepresentation, or breach of fiduciary duty.

How Axiom's Securities Lawyers Can Support Your Business

Axiom provides experienced securities lawyers who offer flexible, on-demand counsel for organizations navigating capital markets transactions and regulatory requirements. Whether you're preparing for an IPO, conducting a private placement, responding to an SEC inquiry, or managing ongoing public company obligations, our attorneys work directly with your team to deliver practical solutions tailored to your transaction timeline and business objectives. Our lawyers bring hands-on experience from major law firms, investment banks, and public companies, allowing them to understand both the legal requirements and the commercial dynamics that drive successful securities transactions.

With Axiom, you can access sophisticated securities legal counsel without the constraints of traditional law firm billing structures or the commitment of full-time hires. Our flexible engagement model is particularly valuable for companies preparing for capital raises, growing businesses transitioning to public company status, and financial services firms that need additional securities law support during busy transaction periods or regulatory matters. Rather than maintaining expensive retainers or managing securities matters without adequate legal guidance, you gain on-demand access to attorneys who can structure compliant transactions, navigate regulatory requirements, and help you achieve your capital markets objectives—all while managing legal costs effectively.

Axiom makes it easy to find securities & prime brokerage lawyers in your area. Use Axiom's Talent Finder to search and browse our extensive network of legal professionals and lawyers with deep experience in securities & prime brokerage law.

You can narrow your search by applying filters for location, availability, industry, skills and years' experience. Once you find the right legal professional for your business needs, you can start a conversation or book them directly.

In addition to securities & prime brokerage law attorneys, Axiom's large network of legal talent spans across 14 practice areas and 30+ industries. Whether you need a secondee lawyer, a team of legal professionals for complex projects, or legal operations support, we've got you covered.

Our lawyers and legal support can work remotely, which not only helps to reduce costs but also provides us with the flexibility to engage with businesses from anywhere in the world. Axiom has  25 years of proven experience in remote engagements, supporting the onboarding and management of thousands of remote relationships.

Axiom's deep bench of securities & prime brokerage lawyers can be accessed in just a few easy steps. The process is quick, easy, and can be completed in as little as 24 hours.

Use our Talent Finder to find top in-house legal talent for your business quickly and within budget. Just answer a few simple questions and we'll match you with qualified legal talent experienced in securities & prime brokerage law law.

Or you can contact our team to schedule a consultation and receive a curated list of Axiom lawyers matched to your needs.

Next, interview one or more of our recommended securities & prime brokerage lawyers, select the best candidate for your needs, and your lawyer can begin work within hours or days.

As one of the world's leading alternative legal services providers (ALSP), Axiom's lawyers and allied legal professionals provide a cost-effective alternative to outside counsel and can supplement strategic law firm work.

We'll help your business find and engage highly-qualified securities & prime brokerage law attorneys quickly, and within budget.

• Axiom typically saves our clients 30 to 50% over traditional law firms
• Our lawyers have an average of 18+ years of experience
• 97% of clients are satisfied with Axiom
• 75% of F100 companies trust Axiom