Securities Regulation

To meet the ever-evolving needs of our clients, CPMT Securities Law attorneys offer a wide array of experience in state and federal securities law matters. Our securities attorneys are experienced in advising clients of all sizes, from the small start-up firm to large private companies. 

Having expertise and knowledge in tax and corporate law (often necessary complements to securities transactions), our team understands the comprehensive analyzation necessary for extraordinary representation of our clients in the securities arena.

Services

  • Help Develop Customized Written Securities Policies and Procedures
  • Guidance on Development, Implementation and Maintenance of Compliance Programs
  • Ongoing Risk Assessments
  • Due Diligence Services
  • Formulating Broker-Dealer Agreements
  • Representing Broker-Dealers and Investment Advisors in Disputes
  • Assistance with completion of Registration Forms, Supporting Documentation and filings with appropriate State and Federal Offices