Financial Services

Broker-Dealers and Investment Managers

We provide a full range of legal services to help broker-dealers and investment managers/advisers comply with a complicated and an ever-changing regulatory environment. We represent registered investment companies in public offerings, including preparation of SEC registration statements and advice with respect to various regulatory and compliance issues.

We also counsel fund managers and advisors regarding disclosure obligations, marketing and advertising issues, trading practices, pricing issues and liquidity of portfolio positions. In addition, we provide representation to financial planners, investment advisors and broker-dealers regarding SEC, NASD and state registration, regulatory and compliance matters.

See our Corporate and Securities section for additional information.