Securities lawyers are legal professionals who specialize in the area of securities law. This area of law governs the issuance, purchase, sale, and trading of stocks, bonds, and other financial instruments. Securities lawyers advise clients on compliance with SEC regulations and insider trading laws.
The Securities and Exchange Commission (SEC) is the federal agency responsible for enforcing securities laws. The SEC has a broad range of enforcement powers, including the ability to conduct investigations, bring civil and criminal actions, and impose fines and other penalties.