We help our business clients confidently navigate the complex disclosure and maintenance needs of the securities industry. Serving both private funds and public companies, we advise on matters including disclosure options, public offerings and shareholder communications.

We have advised clients on securities issues since the founding of our firm, and our clients rely on that knowledge to help them manage their securities needs. We also leverage the skillsets of a broad range of practice areas to offer a full range of services, including:
  • Public company mergers and acquisitions
  • Private placements and startup investment options
  • Securities litigation and dispute resolution

SEC Proposes Amendments to Advertising and Solicitor Rules

On November 4, the Securities and Exchange Commission (SEC) announced proposals to amend Rules 206(4)-1 and 206(4)-3 under the Investment Advisers Act of 1940 (Act). The proposed amendments are aimed at modernizing these rules.
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Supreme Court Throws Out SEC Administrative Law Judge Process

On June 21, 2018, the Supreme Court of the United States invalidated the process that the Securities and Exchange Commission ("SEC") had been using to appoint administrative law judges. Staff from the SEC had selected administrative law judges as…
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