We have significant experience regarding the various regulatory bodies and schemes that impact securities offerings, including the Securities and Exchange Commission (SEC), the National Association Of Securities Dealers (NASD), Regulation M and state securities laws. Regulatory issues can disrupt or delay an offering and create potential liability for issuers and our investment banking clients. We help navigate the complicated, shifting regulatory requirements and work with staff attorneys at the SEC and the NASD to resolve difficult offering-related issues. Our blue sky practitioners handle the chore of state securities law compliance quickly and efficiently. Our working understanding of the regulatory agencies is critical to the offering process and an invaluable aid to getting offerings done.
We have significant experience regarding the various regulatory bodies and schemes that impact securities offerings, including the Securities and Exchange Commission (SEC), the National Association Of Securities Dealers (NASD), Regulation M and state securities laws. Regulatory issues can disrupt or delay an offering and create potential liability for issuers and our investment banking clients. We help navigate the complicated, shifting regulatory requirements and work with staff attorneys at the SEC and the NASD to resolve difficult offering-related issues. Our blue sky practitioners handle the chore of state securities law compliance quickly and efficiently. Our working understanding of the regulatory agencies is critical to the offering process and an invaluable aid to getting offerings done.
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