We provide practical and effective advice and solutions for financial services providers to navigate the maze of SEC, FINRA, and Blue-Sky laws and regulations.
Overview
We advise investment advisers, broker-dealers, private equity and venture capital partnerships, investment partnerships, national banks, and oil and gas ventures on a broad range of securities issues.
We prepare disclosure and corporate documents; negotiate and prepare contracts; prepare and file regulatory filings; interpret federal and state securities laws; and represent clients before FINRA, the SEC, and various state commissioners of securities. We also negotiate and prepare employment agreements.