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Our Firm
Services
Mergers & Acquisitions
+
Mergers & Acquisitions Transactions
Succession Planning & Counsel
Corporate & Business Formation
Transition & Breakaway Services
Regulatory Compliance Counsel
+
Regulatory Examinations & Enforcement Counsel
FINRA Broker-Dealer Regulatory Counsel
Investment Adviser Regulatory Counsel (SEC & State)
AML Regulatory Counsel Services
IA Marketing Rule Counsel
Corporate & Securities Litigation
+
Mediation and Arbitration
General Litigation
SEC and FINRA Enforcement
Expert Witness
U4/U5 Expungement
Private Funds & Transactions
+
Private Fund Formation
Private Fund Operations
Private Fund Counsel
Investment Transactions
General Corporate Counsel
+
Outsourced General Counsel
General Corporate Counsel
Contract Review
Family Office Counsel
Insights
Events
Get In Touch
Request A Strategy Call
Home
Events
Events
Events
Compliance Expectations for 2021 (Part 2)
February 4, 2021
Events
Be in the Know: SEC Examination Priorities (Part 1)
February 4, 2021
Events
Be in the Know: SEC Examination Priorities and Compliance Expectations for 2021
January 11, 2021
Events
The SEC’s New IA Advertising Rule: A Complete Look, from Testimonials to Compliance Oversight
January 11, 2021
Events
Tips and Trends to Help Advisers Prepare for SEC Examinations
January 10, 2021
Events
Ask the Experts: Smaller Firms Up to $10 Billion RAUM
November 18, 2020
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