
FOCUSED ON FINANCINGS.
INVESTMENT MANAGEMENT AND BROKER-DEALERS
We represent a wide variety of investment managers with a focus on institutional investment advisors, socially responsible investment managers, fund advisors and institutional and limited purpose broker-dealers across the United States. We also provide counsel to investment managers and broker-dealers as they navigate rapidly changing regulatory requirements.
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Broker Dealers
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Registered Investment Advisers
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Mutual Funds
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Cybersecurity
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Privacy
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FINRA and SEC Examinations and Inquiries