Securities Industry Compliance and Counseling

We counsel broker-dealers, registered representatives, investment advisers, hedge funds and other securities professionals regarding registration, compliance, reporting, disclosure and trading issues.

We can assist broker-dealers in the membership and continuance process with the NASD; counsel broker-dealers with respect to regulatory examinations and audits; draft broker-dealer compliance and supervisory procedures; counsel investment advisers with respect to fees and disclosure; counsel public companies concerning prospectus and reporting disclosure; and counsel technology vendors with respect to applicable securities laws.