Securities and Regulatory Planning

Our attorneys are highly experienced in state and federal securities law, which enables us to advise fund managers and sponsors on a wide range of increasingly complex regulatory, tax, and other legal issues that affect funds, their sponsors, and investors. We regularly advise clients on the most complex issues arising under the Securities Act, Securities Exchange Act, and Commodity Exchange Act; the Investment Advisers Act and Investment Company Act; rules of the New York Stock Exchange (NYSE), NASDAQ, and other self-regulatory bodies; and state securities pay to play and lobbying laws.