Our securities practice assists clients in complying with the various federal and state laws and related rules governing investment advisers, securities broker-dealers, and issuers of securities.
Our attorneys have extensive expertise in all areas of regulatory compliance, including: the registration of securities under the Securities Act of 1933, private placements under Regulation D of the Securities Act of 1933, the registration of investment advisers under the Investment Advisers Act of 1940, the registration and operation of investment companies under the Investment Company Act of 1940, requirements applicable to securities broker-dealers under the Securities Exchange Act of 1934, rules of the Financial Industry Regulatory Authority, and related issues arising under state “blue sky” laws.
We provide securities advice to a wide range of clients, from multi-billion dollar investment companies, to start-up firms seeking to raise capital through the private issuance of securities, to individual investors.
460 St. Michaels Drive, Suite 603
Santa Fe, New Mexico 87505
Telephone: (505) 988-2900