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.