Securities Regulatory and Compliance Matters
Page Perry regularly represents broker-dealers, investment advisers, private investment vehicles, registered representatives and others in the investment services arena with respect to matters involving regulation or compliance.
The securities industry is one of the most stringently regulated areas of business in the United States. Companies and individuals participating in the securities industries are subject to various overlapping and cumulative federal and state laws and to regulation by the United States Securities and Exchange Commission, securities commissioners of all states in which they conduct business and, for securities brokers and representatives, the Financial Industry Regulatory Authority (FINRA). Only constant, competent and dedicated legal advice and representation can prevent financial services industry participants from running afoul of this complex legal and regulatory structure.
Page Perry regularly advises its clients with respect to issues including formation, regulation, reporting, advertising, supervision, and policies and procedures. Additionally, Page Perry has assisted clients in negotiation of asset purchase, stock purchase, and merger agreements. Federal or state regulations are implicated in a wide variety of situations that arise in the normal course of business. It is important to have experienced counsel to deal with such issues.
If questions or accusations of non-compliance are levied by regulatory authorities, aggrieved investors or law enforcement authorities, it is essential that regulatory counsel be engaged immediately.
Page Perry attorneys have extensive experience in the securities regulatory arena. They have served as regulators and attorneys for regulators. They have represented companies and individuals in investigations and proceedings brought by the SEC, NASD (now FINRA) and many state securities regulators. Page Perry brings to securities regulatory matters knowledge, experience and dedication to representing their clients in this area. We are qualified and prepared to assist securities industry participants to avoid regulatory problems and to help them resolve any securities regulatory issues that might arise.
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