Financial Services

We counsel investment advisers and broker-dealers on compliance with the complex and comprehensive federal and state regulatory schemes. We recently helped a number of investment advisers achieve compliance with new SEC rules requiring written compliance policies and procedures and a code of ethics. Our lead senior attorney in this area, Jeffrey P. Somers, has more than 30 years of experience.

Our services include:

• Analysis of possible exemptions from registration
• Assistance with SEC or state registration, if required
• Development of regulatory-compliant contracts and forms for use in the client’s business
• Development and review of compliance policies and procedures
• Interpretation of regulatory provisions
• Assistance in responding to regulatory inquiries.

Our goal is to provide practical advice to compliance with an array of complex regulations.

To discuss your company's specific legal needs, and how our experienced attorneys might meet them more efficiently and responsively, please contact Jeffrey Somers or Mark Tarallo.