Securities Exchange Compliance

Criminal & Regulatory

Securities Exchange Compliance


Part of our regulatory and compliance practice is devoted to help clients understand their obligations under the Securities Act of 1933, Securities Exchange Act of 1934 and State Blue Sky laws. At Lane & Waterman, our attorneys have extensive experience working with the SEC and U.S. Attorneys’ offices. Our clients include those in the banking, investment, and private equity industries, and we regularly help them navigate rules and regulations that impact their business.

We will vigorously defend clients undergoing examinations and other forms of scrutiny from regulatory bodies, including federal and state governments.

Experienced In:

  • Securities Act, Securities Exchange Act and State Blue Sky laws
  • Registration
  • Insider training and other forms of market manipulation
  • Bank regulatory issues, including those related to the U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act
  • Government and employee benefits, including the Employee Retirement Income Security Act (ERISA)