SECURITIES REGULATORY ADVICE

The firm represents and provides advice to broker-dealers, Alternative Trading Systems (ATSs), investment advisers, Title III funding portals and others throughout the United States to meet the requirements of the federal securities laws and rules and regulations of the SEC and FINRA, including:

anti-money laundering (KYC/AML); blockchain, cryptocurrency and digital asset securities; secondary trading; preparation of written supervisory procedures, including supervisory control procedures; identifying weaknesses or vulnerabilities, and improving compliance programs; compliance with new laws, regulations or rules; meeting Reg BI and fiduciary duty standards; managing conflicts of interests; advertising, including social media; identification of regulatory and legal risks and identifying proactive solutions to address these issues; safe harbors under the federal securities laws; the legality of certain compensation, fees, commissions and/or other fees; due diligence for offerings or products, including the sale of complex products; accredited investor verification and related issues; and formation and registration of broker-dealers including ATS, investment advisers and Title III funding portals.  The firm frequently assembles teams of former regulators to address the unique regulatory challenges confronting its clients.