Securities & Investments
PLG provides small and mid-size US and foreign broker-dealers, and investment companies with a full range of regulatory, corporate, securities, mergers and acquisitions (M&A), and other services.
Because of PLG's lead attorney's extensive experience, PLG can provide its clients with robust advice and representation on compliance with securities laws, rules, and regulations, as well as the applicability of broker-dealer registration requirements, and membership with SROs. PLG monitors developments in regulatory and compliance matters, including SEC and FINRA rule proposals to ensure our clients stay ahead of the game avoiding fines, reputational damage, and high-cost corrective actions. Additionally, PLG provides extensive advice and representation on regulatory compliance, including approvals for change in control, business activities, “due diligence” reviews, and sales/research practices reviews.
PLG represents broker, dealers, registered representatives, and individual clients in litigation, FINRA arbitration, and regulatory enforcement proceedings. PLG also advice institutional clients in connection with regulatory inquiries and internal compliance reviews.
Some of PLG's regulatory, compliance, and legal matters service offerings includes:
- SEC Registration & FINRA Membership (NMA / CMA)
- Investment Advisory formation and licensing
- SEC Laws, rules and regulation compliance
- AML / OFAC / KYC Compliance
- FINRA and other SROs rules
- Governance policies and procedures
- Securities Enforcement actions (CO, AWC, WPR) & fines