Find Lawyers in Michigan, United States for Securities Regulation
Robert J. Cambridge concentrates his practice in general corporate and business law. He has experience representing business clients in connection with a variety of transactional matters, including mergers, acquisitions, dispositions, joint ventures and other complex corporate transactions. Robert also counsels clients on general business and corporate matters, such as entity selection, formation and governance, and has served as outside general counsel in the automotive industry. In addition...
Mr. Foltyn has served as the Chairman of the Board and Chief Executive Officer of Honigman since 2008. Under his guidance, the firm has instituted innovative strategies to become a "value leader" in the legal marketplace by implementing processes, technology and staffing models to increase value and maintain the high quality of its legal services. In addition, Mr. Foltyn has enhanced the recruitment and development functions of the firm by providing a wide variety of internal and external too...
Patrick J. Haddad has over 25 years of experience in the areas of securities, corporate law, health care law and insurance. He is chairperson of the firm’s Securities Law Practice Group and co-chairperson of the firm’s Health Care Practice Group. In his securities and corporate practice, Patrick represents public companies, the boards of for-profit and nonprofit organizations, statewide professional associations, health care professionals, hospital systems, joint ventures, managem...
Stuart Sinai is experienced in taking corporations public, SEC litigation, proxy contests, compliance work under ‘33 and ‘34 Acts, municipal bond offerings and representation of clients in SEC and various exchange proceedings, including insider trading charges, NYSE and FINRA rule violations and fraud investigations. He has participated in numerous mergers and acquisitions involving business, tax, securities, “pooling” and antitrust issues and has handled the various H...
Securities Regulation Definition
Clients also need advice in investigations and enforcement actions concerning possible violations of the securities laws. These investigations may be conducted by the SEC, by state securities commissions or attorneys general, FINRA and other self-regulatory organizations (including, for accounting firms, the PCAOB), and federal or state criminal prosecutors. Securities regulatory lawyers may represent individuals or entities in these inquiries, and must often coordinate with other law firms in industry-wide investigations. Securities regulatory lawyers conduct internal investigations for companies or their boards of directors as well as regulatory entities, including individual, class, and derivative actions, and in arbitrations before FINRA, JAMS, AAA, and international arbitration forums.
Securities regulatory lawyers must understand the relevant legal and regulatory issues and the different products and services subject to securities regulation. These products and services include common and preferred stock; corporate, government, agency, municipal and convertible bonds; open-end and closed-end mutual funds; exchange-traded funds and notes; structured products; asset-backed securities; private funds; separately managed accounts; variable annuities; 529 plans; warrants; options; futures; swaps; commodity pools; bank collective trust funds; and insurance separate accounts. Securities regulatory lawyers also must understand the roles of floor-based and electronic exchanges, dark pool and other alternative trading systems, over-the-counter, "upstairs" and private placement markets, the clearance and settlement utilities, and the rules relating to all of these markets. Securities regulatory lawyers must understand how to conduct cross-border transactions consistent with the laws and regulations of the relevant jurisdictions. Finally, securities regulatory lawyers must stay current on legal, regulatory, and enforcement developments of the SEC, CFTC, FINRA, MSRB, PCAOB, the securities and futures exchanges, the states, and, post-Dodd-Frank, the Federal Reserve Board, FSOC, and other banking regulators.
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