{"id":3310,"date":"2022-07-08T19:11:15","date_gmt":"2022-07-08T19:11:15","guid":{"rendered":"https:\/\/mcintyrelf.com\/?page_id=3310"},"modified":"2023-04-17T18:54:20","modified_gmt":"2023-04-17T18:54:20","slug":"securities-regulation","status":"publish","type":"page","link":"https:\/\/mcintyrelf.com\/securities-regulation\/","title":{"rendered":"Securities Regulation"},"content":{"rendered":"<div class=\"wpb-content-wrapper\"><p>[vc_row content_width=&#8221;grid&#8221; triangle_shape=&#8221;no&#8221; el_id=&#8221;whatwedoservices&#8221;][vc_column width=&#8221;2\/3&#8243; css=&#8221;.vc_custom_1657305482508{border-right-width: 2px !important;padding-right: 50px !important;border-right-color: #292e3e !important;border-right-style: solid !important;}&#8221;][vc_column_text]<\/p>\n<h1 style=\"text-align: left;\">Securities Regulation<\/h1>\n<p>[\/vc_column_text][vc_empty_space][vc_column_text]The U.S. securities markets are dynamic, complex, and energized by a diverse community of market participants that include securities brokerages, investment banks, clearing firms, alternative trading systems, proprietary trading firms, securities exchanges, asset managers, transfer agents, municipal advisors, and issuers. McIntyre &amp; Lemon draws on more than 25 years of securities regulatory expertise to assist this diverse community in navigating the complexities of the nation\u2019s securities regulations and in responding to the distinct regulatory mandates of the U.S. Securities and Exchange Commission (SEC), separate state securities commissioners, and various self-regulatory organizations (SROs), such as, among others, the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange, and the Municipal Securities Rulemaking Board (MSRB).[\/vc_column_text][vc_empty_space]<div class=\"mkd-accordion-holder clearfix mkd-toggle mkd-initial \">\n\t<h3 class=\"clearfix mkd-title-holder\">\n\t<span class=\"mkd-accordion-mark mkd-left-mark\">\n\t\t<span class=\"mkd-accordion-mark-icon\">\n\t\t\t<i class=\"icon-arrow-down-circle\"><\/i>\n\t\t<\/span>\n\t<\/span>\n\t<span class=\"mkd-tab-title\" >\n\t\t<span class=\"mkd-tab-title-inner\">\n\t\t\tBroker-Dealers\t\t<\/span>\n\t<\/span>\n<\/h3><div class=\"mkd-accordion-content\">\n\t<div class=\"mkd-accordion-content-inner\" >\n\t\t[vc_column_text]<\/p>\n<ul>\n<li><strong>Broker-Dealer Status<\/strong> \u2013 We advise clients on the extent to which payment structures, proprietary trading, and\/or participation in the chain of a securities distribution may trigger the definition of \u201cbroker\u201d or \u201cdealer\u201d for purpose of the registration and licensing requirements under federal and state securities laws. In this respect, we commented on SEC rulemakings on behalf of proprietary trading firms and asset managers as to any potential dealer status issues.<\/li>\n<li><strong>Registration, SRO Membership and Continuing SRO Membership<\/strong> \u2013 We advise broker-dealer clients on registration and SRO membership obligations, including compiling the necessary documentation for the approval of a diverse range of businesses that include underwriting, mutual-fund and variable-insurance distribution, institutional sales and trading, investment banking, alternative trading systems, and securities clearing. We also assist our clients with ongoing SRO membership applications for approval in cases of material changes of business, direct and indirect changes of ownership and control, and material asset sales.<\/li>\n<li><strong>Sales Practices<\/strong> \u2013 We assist clients on establishing and implementing sales practice compliance procedures for purposes of addressing antifraud and suitability regulations, relevant FINRA licensing and qualification requirements, FINRA rules on advertising, product distribution platforms, and the SEC\u2019s Regulation Best Interest.<\/li>\n<li><strong>Financial Responsibility Regulations<\/strong> \u2013 We assist broker-dealer clients in navigating the SEC\u2019s complex net-capital and customer-protection rules that directly affect the financing of their business, including a firm\u2019s permissible deployment of equity net capital.<\/li>\n<li><strong>Trading and Distribution Platforms<\/strong> \u2013 We advise our broker-dealer clients on the regulatory effects of the use of technology to create trading platforms, including potential cross-border implications, as well as negotiate on our clients\u2019 behalf distribution and compensation agreements in connection with securities distribution platforms.<\/li>\n<li><strong>Purchase and Sale Transactions<\/strong> \u2013 We assist our broker-dealer clients with performing diligence and negotiation of agreements in connection with obtaining SRO approvals for acquisitions and sales of securities firms or their business lines.<\/li>\n<li><strong>Managing Material, Non-Public Information<\/strong> \u2013 We assist our broker-dealer clients with establishing and implementing insider trading policies, as required by Section 15(g) of the Securities Exchange Act of 1934, and assist in reviewing of information barriers for compliance with federal securities laws\u2019 requirements to protect material, non-public information from abuse.<\/li>\n<li><strong>Examinations<\/strong> \u2013 We assist broker-dealers through the SEC and SRO examinations process from preparation to responding to regulatory findings.<\/li>\n<li><strong>Advocacy<\/strong> \u2013 We are active advocates for our clients and comment on SEC proposed rulemaking or in shaping guidance on regulatory compliance under the existing broker-dealer regulatory regime. In that respect, we commented on the SEC\u2019s proposal to codify rulemaking that would, if adopted, expand the reach of the dealer regulatory regime.<\/li>\n<\/ul>\n<p>[\/vc_column_text]\t<\/div>\n<\/div>\n<h3 class=\"clearfix mkd-title-holder\">\n\t<span class=\"mkd-accordion-mark mkd-left-mark\">\n\t\t<span class=\"mkd-accordion-mark-icon\">\n\t\t\t<i class=\"icon-arrow-down-circle\"><\/i>\n\t\t<\/span>\n\t<\/span>\n\t<span class=\"mkd-tab-title\" >\n\t\t<span class=\"mkd-tab-title-inner\">\n\t\t\tAsset Managers and Municipal Advisors\t\t<\/span>\n\t<\/span>\n<\/h3><div class=\"mkd-accordion-content\">\n\t<div class=\"mkd-accordion-content-inner\" >\n\t\t[vc_column_text]We draw on more than 25 years of experience advising financial planners, private equity advisers, real estate equity advisers, and alternative asset managers on compliance matters under the Investment Advisers Act of 1940 and state investment adviser laws.<\/p>\n<p>&nbsp;<\/p>\n<ul>\n<li><strong>Investment Adviser Status<\/strong> \u2013 We assist clients in determining the extent to which securities investment advice is particularized and subject to registration at the federal or state level or \u201cimpersonal\u201d or otherwise exempt from registration. Also recently, we assist our broker-dealer clients on the impacts of MiFID II\u2019s directive on the unbundling of global research and the SEC\u2019s staff\u2019s decision to sunset its no-action position on adviser status issues for broker-dealers that unbundled global research.<\/li>\n<li><strong>Registration and Ongoing Disclosure<\/strong> \u2013 We assist investment adviser clients with registering with the SEC or state securities commissions, including drafting (i) initial disclosures for filing and annual disclosure updates, (ii) Codes of Ethics, and (iii) written supervisory procedures.<\/li>\n<li><strong>Custody<\/strong> \u2013 We assist investment adviser clients with compliance with the SEC\u2019s custody rule.<\/li>\n<li><strong>Pay-to-Play<\/strong> \u2013 We assist investment adviser clients with navigating the Investment Advisers Act\u2019s complex compliance with pay-to-play restrictions.<\/li>\n<li><strong>Compliance Programs<\/strong> \u2013 We assist our investment adviser clients with the development and implementation of compliance programs and annual reviews.<\/li>\n<li><strong>Managing Material, Non-Public Information<\/strong> \u2013 We advise our investment adviser clients with compliance with Section 204A of the Investment Advisers Act and the application and implementation of insider trading policies, including the creation and review of information barriers. We have experience in establishing bespoke procedures in large and complex financial holding and private-equity company structures containing multiple asset managers in diverse public and private investment sectors.<\/li>\n<li><strong>Investment Adviser Platforms<\/strong> \u2013 We assist our asset manager clients with negotiating management and platform agreements.<\/li>\n<li><strong>Municipal Advisor Status<\/strong> \u2013 We advise clients on their potential status as municipal advisors or, if a municipal advisor, their membership with the MSRB and compliance with applicable MSRB rules, including the MSRB\u2019s pay-to-play regulations.<\/li>\n<\/ul>\n<p>[\/vc_column_text]\t<\/div>\n<\/div>\n<h3 class=\"clearfix mkd-title-holder\">\n\t<span class=\"mkd-accordion-mark mkd-left-mark\">\n\t\t<span class=\"mkd-accordion-mark-icon\">\n\t\t\t<i class=\"icon-arrow-down-circle\"><\/i>\n\t\t<\/span>\n\t<\/span>\n\t<span class=\"mkd-tab-title\" >\n\t\t<span class=\"mkd-tab-title-inner\">\n\t\t\tBanks and Insurance Companies\t\t<\/span>\n\t<\/span>\n<\/h3><div class=\"mkd-accordion-content\">\n\t<div class=\"mkd-accordion-content-inner\" >\n\t\t[vc_column_text]Commercial banks and insurance companies often participate in the securities markets through affiliated broker-dealers and asset managers or by partnering with third-party broker-dealers and investment advisers. We counsel banks and insurance companies on a broad range of their securities activities, such as:<\/p>\n<ul>\n<li><strong>Regulation R<\/strong> \u2013 The application of statutory exclusions from SEC regulation for permissible bank securities activities and bank compliance with Regulation R.<\/li>\n<li><strong>Information Barriers<\/strong> \u2013 Managing sensitive information flow across an enterprise, including establishing, implementing, and reviewing information barriers across bank holding or insurance holding company enterprises.<\/li>\n<li><strong>Distribution of Variable Insurance Products<\/strong> \u2013 The unique intersection of state insurance and federal securities laws in connection with the distribution of variable insurance products.<\/li>\n<\/ul>\n<p>[\/vc_column_text]\t<\/div>\n<\/div>\n<h3 class=\"clearfix mkd-title-holder\">\n\t<span class=\"mkd-accordion-mark mkd-left-mark\">\n\t\t<span class=\"mkd-accordion-mark-icon\">\n\t\t\t<i class=\"icon-arrow-down-circle\"><\/i>\n\t\t<\/span>\n\t<\/span>\n\t<span class=\"mkd-tab-title\" >\n\t\t<span class=\"mkd-tab-title-inner\">\n\t\t\tIssuers\t\t<\/span>\n\t<\/span>\n<\/h3><div class=\"mkd-accordion-content\">\n\t<div class=\"mkd-accordion-content-inner\" >\n\t\t[vc_column_text]Small issuers are often underrepresented in their ability to raise capital to finance their business. Our expertise focuses on smaller issuers and extends to private offerings, crowd-funded transactions in compliance with regulations under the JOBS Act, and reliance on a safe harbor enabling associated persons of issuers to engage in active securities sales outside of the federal broker-dealer regulatory regime.<\/p>\n<p>&nbsp;<\/p>\n<p>With expertise gained in representing industrial operating companies, research and development companies, or finance subsidiaries, we are well positioned to assist clients with managing their balance sheets to avoid investment company status and the adverse effects of the public filing requirements and voidability of contracts that would apply to inadvertent investment companies.[\/vc_column_text]\t<\/div>\n<\/div>\n<\/div>[vc_empty_space][vc_column_text]<\/p>\n<p><strong>For more information on how we can help you navigate the intersection of Wall Street and main street, <a href=\"\/contact-us\/\" target=\"_blank\" rel=\"noopener\">contact us<\/a>.<\/strong><\/p>\n<p>[\/vc_column_text][\/vc_column][vc_column width=&#8221;1\/3&#8243; css=&#8221;.vc_custom_1657306034504{padding-left: 30px !important;}&#8221;][vc_column_text]<\/p>\n<h1>PRACTICE AREAS<\/h1>\n<p>[\/vc_column_text][vc_empty_space][vc_column_text]<\/p>\n<ul class=\"show-for-medium\">\n<li><a href=\"\/insurance-regulation-licensing\/\">Insurance Regulation &amp; Licensing<\/a><\/li>\n<li><a href=\"\/consumer-financial-services\/\">Consumer Financial Services<\/a><\/li>\n<li><a href=\"\/securities-regulation\/\">Securities Regulation<\/a><\/li>\n<li><a href=\"\/environmental-and-product-safety-regulation\/\">Environmental and Product Safety Regulation<\/a><\/li>\n<li><a href=\"\/government-relations\/\">Government Relations<\/a><\/li>\n<\/ul>\n<p>[\/vc_column_text][\/vc_column][\/vc_row][vc_row triangle_shape=&#8221;no&#8221;][vc_column][vc_empty_space height=&#8221;70px&#8221;][\/vc_column][\/vc_row]<\/p>\n<\/div>","protected":false},"excerpt":{"rendered":"<p>[vc_row content_width=&#8221;grid&#8221; triangle_shape=&#8221;no&#8221; el_id=&#8221;whatwedoservices&#8221;][vc_column width=&#8221;2\/3&#8243; css=&#8221;.vc_custom_1657305482508{border-right-width: 2px !important;padding-right: 50px !important;border-right-color: #292e3e !important;border-right-style: solid !important;}&#8221;][vc_column_text] Securities Regulation [\/vc_column_text][vc_empty_space][vc_column_text]The U.S. securities markets are dynamic, complex, and energized by a diverse community of market participants that include securities brokerages, investment banks, clearing firms, alternative trading systems, proprietary trading firms, securities exchanges, asset managers, transfer agents, municipal advisors, and issuers. McIntyre &amp; Lemon draws on more than 25 years of securities regulatory expertise to assist this diverse community in navigating the complexities of the nation\u2019s securities regulations and in responding to the distinct regulatory mandates of the U.S. Securities and Exchange Commission (SEC), separate state securities commissioners, and various self-regulatory organizations (SROs), such as, among others, the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange, and the Municipal Securities Rulemaking Board (MSRB).[\/vc_column_text][vc_empty_space][vc_empty_space][vc_column_text] For more information on how we can help you navigate the intersection of Wall Street and main street, contact us. [\/vc_column_text][\/vc_column][vc_column width=&#8221;1\/3&#8243; css=&#8221;.vc_custom_1657306034504{padding-left: 30px !important;}&#8221;][vc_column_text] PRACTICE AREAS [\/vc_column_text][vc_empty_space][vc_column_text] Insurance Regulation &amp; Licensing Consumer Financial Services Securities Regulation Environmental and Product Safety Regulation Government Relations [\/vc_column_text][\/vc_column][\/vc_row][vc_row triangle_shape=&#8221;no&#8221;][vc_column][vc_empty_space height=&#8221;70px&#8221;][\/vc_column][\/vc_row]<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_acf_changed":false,"footnotes":""},"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v22.4 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Securities Regulation - McIntyre &amp; Lemon:<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/mcintyrelf.com\/securities-regulation\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Securities Regulation - McIntyre &amp; Lemon:\" \/>\n<meta property=\"og:description\" content=\"[vc_row content_width=&#8221;grid&#8221; triangle_shape=&#8221;no&#8221; el_id=&#8221;whatwedoservices&#8221;][vc_column width=&#8221;2\/3&#8243; css=&#8221;.vc_custom_1657305482508{border-right-width: 2px !important;padding-right: 50px !important;border-right-color: #292e3e !important;border-right-style: solid !important;}&#8221;][vc_column_text] Securities Regulation [\/vc_column_text][vc_empty_space][vc_column_text]The U.S. securities markets are dynamic, complex, and energized by a diverse community of market participants that include securities brokerages, investment banks, clearing firms, alternative trading systems, proprietary trading firms, securities exchanges, asset managers, transfer agents, municipal advisors, and issuers. 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[\/vc_column_text][\/vc_column][vc_column width=&#8221;1\/3&#8243; css=&#8221;.vc_custom_1657306034504{padding-left: 30px !important;}&#8221;][vc_column_text] PRACTICE AREAS [\/vc_column_text][vc_empty_space][vc_column_text] Insurance Regulation &amp; Licensing Consumer Financial Services Securities Regulation Environmental and Product Safety Regulation Government Relations [\/vc_column_text][\/vc_column][\/vc_row][vc_row triangle_shape=&#8221;no&#8221;][vc_column][vc_empty_space height=&#8221;70px&#8221;][\/vc_column][\/vc_row]\" \/>\n<meta property=\"og:url\" content=\"https:\/\/mcintyrelf.com\/securities-regulation\/\" \/>\n<meta property=\"og:site_name\" content=\"McIntyre &amp; Lemon:\" \/>\n<meta property=\"article:publisher\" content=\"https:\/\/web.facebook.com\/mcintyrelf\" \/>\n<meta property=\"article:modified_time\" content=\"2023-04-17T18:54:20+00:00\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:site\" content=\"@mcintyrelemon\" \/>\n<meta name=\"twitter:label1\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data1\" content=\"7 minutes\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\/\/mcintyrelf.com\/securities-regulation\/\",\"url\":\"https:\/\/mcintyrelf.com\/securities-regulation\/\",\"name\":\"Securities Regulation - McIntyre &amp; Lemon:\",\"isPartOf\":{\"@id\":\"https:\/\/mcintyrelf.com\/#website\"},\"datePublished\":\"2022-07-08T19:11:15+00:00\",\"dateModified\":\"2023-04-17T18:54:20+00:00\",\"breadcrumb\":{\"@id\":\"https:\/\/mcintyrelf.com\/securities-regulation\/#breadcrumb\"},\"inLanguage\":\"en-US\",\"potentialAction\":[{\"@type\":\"ReadAction\",\"target\":[\"https:\/\/mcintyrelf.com\/securities-regulation\/\"]}]},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\/\/mcintyrelf.com\/securities-regulation\/#breadcrumb\",\"itemListElement\":[{\"@type\":\"ListItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\/\/mcintyrelf.com\/\"},{\"@type\":\"ListItem\",\"position\":2,\"name\":\"Securities Regulation\"}]},{\"@type\":\"WebSite\",\"@id\":\"https:\/\/mcintyrelf.com\/#website\",\"url\":\"https:\/\/mcintyrelf.com\/\",\"name\":\"McIntyre & Lemon:\",\"description\":\"A Boutique Regulatory Law Firm\",\"publisher\":{\"@id\":\"https:\/\/mcintyrelf.com\/#organization\"},\"potentialAction\":[{\"@type\":\"SearchAction\",\"target\":{\"@type\":\"EntryPoint\",\"urlTemplate\":\"https:\/\/mcintyrelf.com\/?s={search_term_string}\"},\"query-input\":\"required name=search_term_string\"}],\"inLanguage\":\"en-US\"},{\"@type\":\"Organization\",\"@id\":\"https:\/\/mcintyrelf.com\/#organization\",\"name\":\"McIntyre & Lemon:\",\"url\":\"https:\/\/mcintyrelf.com\/\",\"logo\":{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\/\/mcintyrelf.com\/#\/schema\/logo\/image\/\",\"url\":\"https:\/\/mcintyrelf.com\/wp-content\/uploads\/2022\/06\/logo-1.png\",\"contentUrl\":\"https:\/\/mcintyrelf.com\/wp-content\/uploads\/2022\/06\/logo-1.png\",\"width\":300,\"height\":50,\"caption\":\"McIntyre & Lemon:\"},\"image\":{\"@id\":\"https:\/\/mcintyrelf.com\/#\/schema\/logo\/image\/\"},\"sameAs\":[\"https:\/\/web.facebook.com\/mcintyrelf\",\"https:\/\/twitter.com\/mcintyrelemon\"]}]}<\/script>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Securities Regulation - McIntyre &amp; Lemon:","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/mcintyrelf.com\/securities-regulation\/","og_locale":"en_US","og_type":"article","og_title":"Securities Regulation - McIntyre &amp; Lemon:","og_description":"[vc_row content_width=&#8221;grid&#8221; triangle_shape=&#8221;no&#8221; el_id=&#8221;whatwedoservices&#8221;][vc_column width=&#8221;2\/3&#8243; css=&#8221;.vc_custom_1657305482508{border-right-width: 2px !important;padding-right: 50px !important;border-right-color: #292e3e !important;border-right-style: solid !important;}&#8221;][vc_column_text] Securities Regulation [\/vc_column_text][vc_empty_space][vc_column_text]The U.S. securities markets are dynamic, complex, and energized by a diverse community of market participants that include securities brokerages, investment banks, clearing firms, alternative trading systems, proprietary trading firms, securities exchanges, asset managers, transfer agents, municipal advisors, and issuers. 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