Securities Law

There have been tremendous changes in securities laws in recent years that require a broad knowledge of regulatory limits and processes. The Jumpstart Our Business Startups Act of 2012 (the JOBS Act), has drastically changed how private offerings and hedge funds will raise capital in the future. We encourage you to get appropriate legal counsel before pursuing private offerings, crowd funding, or other financing options. Our attorneys can steer you through requirements of Dodd-Frank, NFA compliance, audit and enforcement action with the SEC and CFTC, broker/dealer compliance, and registration of commodity pools among other scenarios. The definition of securities can be quite broad, and a variety of exemptions exist that make it necessary to rely on trusted legal advice before moving forward in this specific area of law.

Our Services

  • Proprietary Trading Firms
  • Crowd Funding
  • Private Offerings
  • JOBS Act of 2012
  • Title II of the JOBS Act
  • Title III of the JOBS Act
  • Hedge Funds
  • Dodd-Frank
  • Audit and Enforcement Action with the SEC and CFTC
  • Broker/Dealer Compliance
  • Investment Adviser Compliance
  • State Blue-sky Research
  • NFA Compliance
  • Registration of Commodity Pools
  • Registration of Commodity Trading Advisers
  • Filing Section 16, Form 4s
  • Independent Anti-money Audits