Day in the Life

A Day in the Life: SEC Staff attorney (No Commission Meeting)

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9:00 a.m.: Arrive at office, read The Wall Street Journal for relevant articles related to the Commission, check voice mail and e-mail.

9:30 a.m.: Begin returning phone calls.

10:00 a.m.: On days when the Commission does not meet, review registration statements that have been filed and amendments to registration statements. Screen out registration statements to receive reviews from the staff. Return telephone calls to attorneys. Answer interpretive questions relating to the Securities Act of 1933 and Securities Exchange Act of 1934. Meet with staff accountants to discuss overlapping accounting and legal issues involved with ongoing registration statement reviews. When necessary, consult with other divisions (Investment Management, Market Regulation, Enforcement) to address issues arising out of registration statements. When necessary, consult with Corporation Finance support offices (Office of Chief Counsel, Office of Mergers and Acquisitions, Office of International Corporation Finance) to address specialized corporation finance issues arising from registration statements. Discuss status of filings and issues with outside counsel.

12:00 p.m.: Lunch/attend staff training session.

1:00 p.m.: Review registration statements that have been filed and amendments to registration statements. Screen out registration statements to receive reviews from the staff. Return telephone calls to attorneys. Answer interpretive questions relating to the Securities Act of 1933 and Securities Exchange Act of 1934. Meet with staff accountants to discuss overlapping accounting and legal issues involved with ongoing registration statement reviews. When necessary, consult with other divisions (Investment Management, Market Regulation, Enforcement) to address issues arising out of registration statements. When necessary, consult with Corporation Finance support offices (Office of Chief Counsel, Office of Mergers and Acquisitions, Office of International Corporation Finance) to address specialized corporation finance issues arising from registration statements. Discuss status of filings and issues with outside counsel.

5:30 p.m.: Leave work.