Cole Schotz P.C.

 

Securities Law Compliance

OVERVIEW

We regularly advise our clients with respect to the Securities Act of 1933, Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the regulations of various national securities exchanges, and state securities law.

Our practice includes advising on the registration obligations under such securities laws, exceptions available thereunder, the preparation and review of quarterly, annual and other periodic reports and proxy statements, and advising officers and directors with respect to compliance with their fiduciary and other reporting obligations.