Find Lawyers in Salt Lake City, Utah for Securities Regulation
Mark Pugsley’s practice is focused on complex commercial litigation involving financial institutions, including brokerage firms, banks and insurance companies. He has handled investment fraud cases for over twenty years, including civil litigation, FINRA arbitration, whistleblower cases, receivership litigation, and regulatory investigations. He is the chair of the Securities Litigation Group at Ray Quinney & Nebeker and holds active licenses to practice law in Utah and California. ...
Reed Topham is a partner in Stoel Rives’ Corporate group. Reed advises clients on securities law compliance, corporate governance issues and the sale and acquisition of businesses. He has extensive experience in public and private financings, both debt and equity, particularly initial public offerings and Rule 144A transactions. In addition to advising public and large private companies, a portion of his practice consists of representing emerging and closely held businesses in various i...
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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Enhancing Consumer Safety Through Winning Jury Trials and Substantial Settlements
by Justin Smulison