SEC Compliance

We are experienced in dealings with the Securities and Exchange Commission (SEC) and all related state agencies. We represent clients in federal, state, and civil securities litigation. Our clients are individuals and companies, corporate officers and directors, audit committees, broker-dealers, investment banks, independent professionals, and others. We advise clients on state and federal regulations, registration, and compliance.

We understand how the SEC functions, its structure, and how the SEC compliance checklist applies to cases brought before us.

We offer counsel on SEC compliance and disclosure interpretations and SEC compliance training, SEC compliance officer training, including the following:

  • Financial Accounting Fraud
  • Disclosure and Reporting Irregularities
  • Stock Option Backdating
  • Insider Trading
  • Broker-Dealer Trading and Operations
  • Initial Public Offerings (IPOs)
  • Secondary Public Offerings
  • Hedge Fund Conduct
  • Trading Irregularities
  • Issues of the Foreign Corrupt Practices Act
  • No-Action Letters from the SEC
  • Issue of the Investment Company Act