Securities

The Firm counsels a variety of clients on state blue sky securities law matters and on general corporate, partnership, and securities matters, handling both regulatory and transactional matters involving the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1939. We represent issuers, underwriters, lenders, and 501(c)(3) entities in numerous corporate financing transactions, including private offerings of debt and equity securities. We also advise companies and executive officers on the securities law implications of employee benefit plans, including the short-swing profit rules. We also counsel broker-dealer and investment advisor clients on the regulatory requirements applicable to their regulated activities.

Reid and Riege also represents clients in responding to both informal inquiries and formal investigations by federal, state, and SRO regulators.  One of our goals in these matters is to minimize the risk that an investigation will trigger formal enforcement proceedings. In addition, as a result of the increased emphasis on criminal enforcement, our experienced litigators deal with the complexities associated with the defense of parallel criminal and civil proceedings. We assist clients in conducting internal investigations and compliance audits, either in response to regulatory actions or as part of reviews initiated by the clients themselves.

For additional information, contact Robert M. Mulé (860) 240-1010, lawtalk@reidandriege.com, Mark X. Ryan (860) 240-1056, mryan@reidandriege.com or Craig L. Sylvester (860) 240-1032, csylvester@reidandriege.com.