The Firm’s securities practice combines the expertise of our litigation and transactional lawyers. The practice covers the interrelated areas of broker-dealer regulation, the stock markets and venture capital financing.
Our attorneys regularly engage in such diverse areas as:
- Representation of securities firms and registered representatives before the SEC, NYSE, NASD and state securities regulators and in connection with compliance examinations, responses to examinations and regulatory inquiries, investigations and enforcement proceedings;
- Representation of issuers, broker-dealers, other financial institutions and individuals in internal investigations and regulatory litigation with the SEC, NYSE, NASDR, other SRO’s and state securities regulators;
- Structuring and executing private placements, including advice on registration rights and resales of restricted securities;
- Business planning, including advice on regulatory implications of pursuing new aspects of the securities business and the development of new securities products and services; and
- Ongoing regulatory and corporate compliance – including review of clients’ compliance, order handling, supervisory and conflicts procedures, conduct of “compliance audits,” development of compliance and supervisory policies and procedures, and advice on trading-related compliance issues as they arise.