REGULATORY & ADMINISTRATIVE LAW

From day-to-day details to the big picture perspective, we advise clients in matters before the Securities and Exchange Commission (SEC) and in SEC-related matters, including regulatory and enforcement representation. We assist clients in complying with the securities laws in connection with public and private offerings, including assisting clients in registering offerings with the SEC, preparing prospectuses and other disclosure documents, and making required filings for private placement offerings. We advise public clients on filing and general disclosure obligations, and counsel on best practices to avoid regulatory pitfalls. 

Having a former SEC Enforcement Branch Chief on our team gives us a unique insider perspective when representing clients in SEC investigations. We have experience covering the full spectrum of securities enforcement, from document subpoena responses to appearances for investigative testimony in administrative enforcement proceedings, and in federal court enforcement proceedings.