Financial Services

Morse Barnes-Brown & Pendleton’s financial 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 assist our clients in compliance with an array of complex laws and regulations.

Recently we have advised a number of investment advisers regarding compliance with the SEC’s revised custody rule. We are currently advising managers to private funds regarding possible federal or state investment adviser registration as a result of enactment of the Dodd-Frank Act.

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.