Cohen/Mainzer assists clients in analyzing registration requirements under the Investment Advisors Act of 1940 and other applicable SEC and state investment advisor regulations. We also assist clients in preparing registration and compliance materials and in establishing effective compliance policies and procedures. We frequently support in-house counsel and Chief Compliance Officers in their compliance related activities and in connection with SEC inspections, investigations, and other interfaces with regulatory agencies.

We are also experienced representing clients in connection with securities offerings, complying with the Securities Act of 1933 and the Securities Act of 1934 and in civil actions by the SEC, FINRA and state securities agencies.