Our Securities Regulation Group of Jaffe offers a wide range of services to suit the needs of its public and private clients. The Group is comprised of numerous attorneys with varied backgrounds and experience in nearly every area of securities regulations. The Group provides quality legal services at a cost which is below that of major firms elsewhere. While the Group has the expertise to handle virtually any securities regulation matter, the Group has significant experience in the following matters:
- Representing issuers in all aspects of initial public offerings and secondary public offerings of equity and debt securities.
- Advising companies in conducting private placements of securities and advising investors in purchasing such securities.
- Assisting clients in complying with federal and state securities regulatory matters, including all reporting and disclosure requirements under the Securities Exchange Act of 1934 and the Investment Company Act of 1940.
- Advising both issuers and underwriters in municipal securities offerings.
- Representing companies in initiating and/or defending tender offers (both solicited and unsolicited).
- Assisting clients in complying with the rules and regulations of the New York Stock Exchange, the American Stock Exchange, the NASDAQ Stock Market and other stock exchanges and markets.
- Registering broker-dealers and investment advisors under federal and state laws and counseling broker-dealers and investment advisors in a variety of regulatory matters.
Joel Alam * Sara M. Kruse
John P. Decker Matthew Murphy
Lee B. Kellert Peter Sugar
Jeffrey M. Weiss
* Head of Practice Group
