Provide legal advice or courtroom guidance to your clients.
Securities Paralegals assist Lawyers in all things pertaining to the buying and selling of stocks and bonds. That means scrutinizing, preparing, and filing documents as well as constantly updating their knowledge about securities.
When businesses or individuals make investments, the Securities and Exchange Commission (SEC) closely monitors those trades. Along with Financial Advisors, Financial Analysts, Accountants, and Brokers, Lawyers are often part of the mix. Securities Lawyers specialize in the legalities of securities—stocks, bonds, and other investment tools. If the investor or the business offering the shares are accused of impropriety and sent to court, the Securities Paralegal and the Lawyer guide them through the process.
For your part, as a Securities Paralegal, you prepare and deliver all filings with the SEC and evaluate whether either party broke the law. You analyze policies that affect the case and draft documents, which report this information. You maintain files and prepare reports. In fact, you do most of the legwork in legal cases.
Outside of court, you are responsible for many tasks as well. Businesses hire you to write the prospectus (details of the stock offering) for stock they wish to sell. In addition, you prepare the annual reports for stockholders.
With over fifty agencies overseeing the business of securities trading, there are numerous laws for you to know. You need to excel at problem solving, decision-making, and effective communication. In addition, you use an eye for detail, dogged meticulousness, and a dedication to accuracy.