Practice Areas
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Investment Adviser Regulation & Compliance
Guiding investment managers, financial institutions, and market participants through a complex and rapidly shifting regulatory environment.
Norm Law's Investment Adviser Regulation & Compliance practice guides investment managers, financial institutions, and market participants through a complex and rapidly shifting regulatory environment. The practice advises across the Investment Advisers Act, Investment Company Act, Securities Act, and Exchange Act, with particular depth in adviser registration and compliance program development, SEC examinations and enforcement, FINRA matters, and state-level regulatory requirements. Our attorneys bring direct experience with agency interpretations and market practice, and are regularly called upon to counsel clients on both day-to-day compliance and high-stakes regulatory events.
Our Focus
- Investment adviser registration, exemptions, and ongoing compliance programs
- SEC examination preparation, response, and management
- SEC and FINRA enforcement defense and investigations
- Investment Company Act status analysis and registered fund structuring
- Compliance program design, review, and testing
- Marketing rule and advertising compliance
- Form ADV, Form PF, and regulatory filing preparation
- State securities registration and regulatory matters
- Cross-border regulatory matters and non-U.S. manager registration
