Securities Regulatory Advice

The firm provides represents and provides advice to broker-dealers, investment advisers and 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 (AML); blockchain and security token offerings, secondary trading, compliance with the federal securities laws; the preparation of written supervisory procedures, including supervisory control procedures; identifying weaknesses or vulnerabilities, and improving compliance programs; compliance with new rules; meeting fiduciary duty standards and 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 appropriateness and legality of certain compensation, fees, commissions and/or other charges; due diligence for offerings or products, including the sale of complex products to retail investors; accredited investor verification; and formation and registration of broker-dealers including Alternative Trading System (ATS), investment advisers and Title III funding portals.