Practice Areas

Broker-Dealer Regulation

We provide advice on all matters related to the operation of a broker-dealer. Our attorneys are experienced practitioners, many of whom were employed previously with the SEC or FINRA and its predecessor, the NASD. READ MORE »

Investment Management

We provide comprehensive securities regulatory services to clients ranging from SEC-registered investment advisers with billions of dollars in managed assets, to solo practitioners registered in a single state. We also advise a number of specialized registered investment advisers who provide research and investment consulting services. READ MORE »

Securities Litigation and Arbitration

We represent public companies and their directors, officers and employees, as well as broker-dealers, investment advisers, hedge funds, alternative trading systems, accounting and legal professionals and other participants in the securities markets, in formal and informal investigations, examinations, and reviews by the SEC, FINRA and other securities industry regulators.  READ MORE »

NRSRO Regulation

We have more than twenty years’ experience representing credit rating agencies known as nationally recognized statistical rating organizations (NRSROs). Over this time, we have actively participated in the evolution of this important new field of law. In this regard, we worked with industry members, policy makers and regulators to develop a comprehensive new regulatory regime dedicated to NRSROs. READ MORE »