Securities Compliance and Counseling
The attorneys at Waldman Law Group, P.C. provide federal and state securities law compliance advice to our clients engaged in corporate and securities transactional matters. Our attorneys address the needs of our clients by providing responsive solutions based on the technical knowledge gained through years of experience in this field.
Waldman Law Group, P.C. counsels broker-dealers, registered representatives, investment advisors and other securities professionals regarding registration, compliance, reporting, disclosure and trading issues.
We assist broker-dealers in the membership and continuance process with the FINRA; counsel broker-dealers with respect to regulatory examinations and audits; draft broker-dealer compliance and supervisory procedures; counsel investment advisers with respect to fees and disclosure; counsel public companies concerning prospectus and periodic reporting disclosures.
Our firm has experience in a broad range of sophisticated securities-related matters, including:
As a securities law client, you will appreciate the business experience and business judgment offered by of our attorneys. Contact the Waldman Law Group, P.C. to schedule a consultation on the legal needs of your business, and let us help you advance your objectives through sound legal counsel.