Securities Regulation

Jaffe's Securities Practice Group is comprised of experienced attorneys with diverse backgrounds and expertise in nearly every area of securities regulation. Our securities attorneys represent publicly traded and privately held issuers, placement agents, investment banks, investment advisers, broker-dealers, equity and debt holders, venture capital and private equity funds and others in all types of public and private transactions involving the offering and sale of securities. Included in the many services our securities attorneys provide is advising on and assisting in the preparation of compliant disclosure documents for public and privately placed securities offerings. We also counsel corporations and their officers and directors in matters of fiduciary duty, public disclosure and other aspects of ongoing compliance with the federal and state securities laws and the rules and regulations of Nasdaq stock market and the New York and American stock exchanges. We are experienced in representing registered investment advisers, including private fund and hedge fund advisers. We provide counsel and representation in a broad range of regulatory compliance, investigations, enforcement actions and disciplinary inquiries made by the SEC, FINRA and state regulatory authorities. Our securities attorneys also represent sponsors of and investors in hedge funds, funds of funds, real estate funds and other specialized investment funds, and we have a robust practice in representing multi-family and single-family offices in investment and regulatory compliance matters.

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