Due to the rapidly evolving and heavily regulated securities industry, companies may need advice or defense related to administrative regulatory matters. Our team at Weiss Brown has extensive experience with state and federal regulatory inquiries and investigations. Contact us today to arrange a consultation.
Why Choose Our Phoenix Securities and Administrative Regulatory Attorney?
- We advise clients based on a combination of our extensive legal knowledge and a deep understanding of government enforcement.
- Our team includes lawyers who have served as law clerks in federal and state courts and as enforcement counsel for state regulators, giving us a unique advantage.
- Our principal goal is to solve our client’s problems by providing high-quality legal services at a reasonable price.
Regulatory and Compliance
The pervasiveness of local, state, and federal regulations and legal requirements can significantly impact a company’s business operations. Therefore, it is essential to understand the legal environment in which government agencies function to successfully anticipate, respond to, or even challenge regulatory and enforcement activities. A securities and administrative regulatory attorney can play a critical role in helping clients protect their interests and navigate the securities industry’s complex legal and regulatory landscape.
Types of Securities and Administrative Regulatory Issues We Handle
We have advised and represented clients in a variety of legal issues related to the securities industry, including:
Securities professionals, brokers, and trading firms must comply with federal and state securities laws, which are written extremely broadly. We can also help navigate the complex regulatory requirements imposed by agencies such as the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
Responding to regulatory inquiries, investigations, audits, and/or representation in enforcement actions brought by regulatory agencies such as the SEC, FINRA, and state securities regulators.
Resolving disputes through arbitration and other alternative dispute resolution mechanisms or mounting a defense to claims of securities fraud, breach of contract, and other securities-related claims.
Advise on the legal and regulatory issues involved in mergers, acquisitions, and other business transactions in the securities industry to ensure that everything goes smoothly.
A securities law attorney can also assist your business with other aspects of routine SEC compliance, such as corporate governance, reporting obligations, issuing stock and secondary offers, and adhering to exchange regulations. Financing decisions affect the launching of a business and the ability to expand as it succeeds. In addition to creating the legal documentation required for financing your company, a skilled securities lawyer can help you find suitable funding sources, introduce those sources, and guide you through the process while avoiding common pitfalls. Failure to comply with SEC regulations can lead to Administrative action and legal liability. An attorney can help your company remain in compliance and also defend against any enforcement actions that have already been initiated that allege your company is non-compliant.