Find Lawyers in Portland, Oregon for Securities Regulation
Practice Area Overview
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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David Matheson, a partner in the firm’s Business practice, brings value to clients by providing strategic and practical advice. He has more than 20 years of experience in counseling on corporate governance matters, raising capital through public and private equity and debt offerings, and acquiring and disposing of businesses and assets. David advises domestic and foreign public companies — including controlled companies and master limited partnerships — on their SEC and secu...
Roy Tucker is an experienced business counselor and advisor who focuses his practice on public offerings, mergers and acquisitions, securities compliance and corporate governance and restructurings. Roy has represented issuers and underwriters in numerous public offerings and regularly advises corporate clients and private equity firms on mergers, asset sales and leveraged buyouts.
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